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Securities Fraud Attorney Peter C. Rageas, P.C.
Wells Fargo Sanctioned by FINRA for Not Supervising Employees | MI Securities Law Firm
Wells Fargo Sanctioned by FINRA for Not Supervising Variable Annuity Transaction Switches to Other Company Products In February, Wells Fargo settled a civil lawsuit and criminal prosecution filed ty the U.S. Department of Justice stemming from the 2016 disclosure that...
Morgan Stanley Fined by FINRA | MI Securities Law Office
Morgan Stanley Fined by FINRA for Failing to Supervise a Registered Representative There are some investments that because of their upfront sales charges are only advantageous to investors if they are held for a long-term. On August 12, 2020, the U.S. Financial...
SEC Files Fraud Charges Involving NAC Foundation / AML Bitcoin – MI Securities Law Firm
Banks are subject to rules which require them to verify the identity of their customers. This is a problem for criminals who have large sums of cash from illegal activities. Increasingly, criminals have turned to cryptocurrency to launder their cash. Chainalysis, a...
SEC Settlement with Major Investment Firm Results in $5M Penalty – MI Securities Law Firm
SEC Settlement with Major Investment Firm Results in $5M Fund Benefitting Harmed Wrap Fee Program Investors Investment firm, Morgan Stanley Smith Barney, LLC (MSSB), recently settled charges brought by the U.S. Securities and Exchange Commission (SEC) that the company...
What Does FINRA Do? | MI Securities Law Firm
Securities markets need broad public confidence in their integrity to function correctly. Without confidence in the markets, trading securities would entail an unacceptably high level of risk with untold consequences. Because most of the world’s investors believe that...
Was Your Portfolio Suitably Invested?
As we navigate and muddle through the calamity of the Corona Virus black swan (an unforeseen, unexpected event), we must assess (1) where our stock portfolio value is at and (2) why. Is the value lost acceptable considering the black swan or is the loss in value...
Farmington Hills Broker Charged With Improper Bond Transactions | Michigan
Farmington Hills Broker Discharged from Morgan Stanley amid Allegations of Improper Bond Transactions Robert C. David was a registered broker and investment adviser for Morgan Stanley in the Farmington Hills branch office from June 2009 until March 2019. According to...
Wells Fargo Settles with SEC Over Charges | MI Securities Law Firm
Wells Fargo Settles with SEC Over Charges Related to Single Inverse EFT Investments The U.S. Securities and Exchange Commission announced on February 27, 2020, that it had settled charges it lodged against Wells Fargo Clearing Services and Wells Fargo Advisors...
Celebrity Endorsements and Investments | MI Securities Law Firm
The psychology behind celebrity endorsements of products seems simplistic. The human brain recognizes celebrities similarly to how it recognizes people we actually know.1 People feel that they know the celebrity and that they can trust the celebrity and when that...
The SEC and the Legal Marijuana Industry | Detroit MI
The legal recreational marijuana industry is in its infancy in Michigan, but so far it appears to be a booming business. In the first two weeks of December 2019 just a few licensed retail shops grossed more than $3 million in sales and the projections by state budget...
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