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Securities Fraud Attorney Peter C. Rageas, P.C.
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,...
Radio Host Sentenced to Three Life Terms for Affinity Fraud Targeting Seniors
Affinity fraud occurs when a thief targets members of an identifiable group, like a religious group, senior citizens or an ethnic community, and then relies on his or her connection with members of the group to perpetrate investment fraud.1 Affinity scams very often...
FINRA Releases Research on Consumer Vulnerability to Financial Scams
The Financial Industry Regulatory Authority's Investor Education Foundation teamed up with the University of Minnesota and the Better Business Bureau's (BBB) Institute for Marketplace Trust to study why some consumers are more vulnerable to financial scams. The...
SEC Enforces Action Against TIAA Subsidiary
$97 Million SEC Enforcement Action Against TIAA Subsidiary for Retirement Rollover Recommendations A fiduciary, as defined by Investopedia.com, is "a person or organization that acts on behalf of another person or persons, putting their clients' interest ahead of...
UBS Fined $8M by the SEC for Unsuitable Sales of Exchange Traded Products
Daniel Michael, chief of the U.S. Securities and Exchange Commission (SEC) Enforcement Division's Complex Financial Instruments Unit noted that it is an advisory firm's responsibility to protect its clients from inappropriate investments in complex financial...
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