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Securities Fraud Attorney Peter C. Rageas, P.C.
Michigan Securities Representative Submits Letter of Acceptance
Robert David Jr. Submits Letter of Acceptance, Waiver and Consent to FINRA A Michigan securities representative filed a Letter of Acceptance, Waiver and Consent (AWC) on March 31, 2022, with the Financial Industry Regulatory Authority (FINRA) accepting, without...
Equitable Financial Sanctioned by SEC for Misleading Investors
Equitable Financial Sanctioned by SEC for Misleading Investors About Fees Investing your money doesn't come without a price tag. There are fees and cost associated with investment products and services and in order to invest wisely an investor should thoroughly...
SEC Alleges Schwab Robo-Adviser Clients Were Misled About Fees
On June 13 the U.S. Securities and Exchange Commission (SEC) charged three Charles Schwab investment adviser subsidiaries with misleading Robo-Adviser clients about fees. In order to settle the charges, those three Charles Schwab subsidiaries -- Charles Schwab &...
SEC Halts Alleged Fraud by Detroit-based Hedge Fund Advisor
SEC Halts Alleged Fraud by Detroit-based EIA All Weather Alpha Fund I Partners On May 18, the U.S. Securities and Exchange Commission (SEC) filed a complaint for injunctive and other relief against Michigan-based EIA All Weather Alpha Fund I Partners, a purported...
West Michigan Man Sentenced to Jail for Securities Fraud
Joshua Louis Rupp, 37, pleaded guilty in federal court in Grand Rapids and was sentenced in March to serve 16 years in jail for securities fraud. Rupp was already in prison serving a three year and nine month sentence, having pleaded no contest and been convicted of...
IRS Targets Syndicated Conservation Easements for Potential Tax Fraud
On August 25, 2020, the Senate Finance Committee Chair Chuck Grassley and the Committees' ranking member, Ron Wyden, released a report on the Committee's investigation into syndicated conservation easements and possible tax fraud. The report detailed the investigation...
SEC Charges Precious Metals Company with Scheme Targeting the Elderly
When stock prices take a wild ride, or start plummeting, investors often seek out safer and more lucrative places to invest. A precious metals individual retirement account (IRA) may appeal to investors in this situation, as this type of IRA allows investors to hold...
Beware of High Return Certificates of Deposit Scams
A recent enforcement action by the U.S. Securities and Exchange Commission (SEC) highlights once again the need for investors to do their research on investment offerings and heed any warning signs that an investment may not be legitimate. In January, the SEC charged...
FINRA Fines Aegis Capital for Failure to Supervise Potentially Excessive Trading
FINRA Fines Aegis Capital $2.8M for Failure to Supervise Potentially Excessive Trading Brokerage firms that are members of the Financial Industry Regulatory Authority (FINRA) need to have supervisory systems in place that are reasonable designed to meet compliance...
Appointing a Trusted Contact for Investments
Appointing a Trusted Contact for Investments Advised by Government Agencies The Federal Bureau of Investigation's (FBI) Internet Crime Complaint Center (IC3) receives and tracks thousands of complaints of fraud each day and then investigates those complaints,...
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