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Practice Areas

UBS YES Investment Fraud
Biometric Data Litigation Attorneys
Coinbase Cryptocurrency Theft
Auto-Renewal Subscriptions & Deceptive Subscription Attorneys
Video Privacy Lawsuits
Misrepresentation Omission (Securities fraud)
Cybersecurity & Data Privacy Litigation Lawyers
Employment Litigation Lawyers
Bitcoin Fraud
Cryptocurrency Loss
UBS Sales of Lehman Brothers
UBS Misled Investors
Principal Protected Notes
Credit Derivatives
Credit Default Swaps
New York Structured Products Attorneys
Los Angeles Structured Products
Structured Products
São Paulo & Other Brazilian Investors
Representation of Latin American Investors
Puerto Rico Securities Fraud & Stockbroker Misconduct
Mexico City & Other Mexican Investors
Buenos Aires & Other Argentine Investors
Mexico City Investors
International Investors
Broker Cooperation Attorney
Whistleblower Protection Act
Whistleblower FAQs
Tax Fraud
SEC Securities Fraud
Qui Tam/Whistleblower Claims
Medicare/Medicaid Fraud
GSA Supply Fraud
Company Fraud
Texas Whistleblower
New York Whistleblower
Los Angeles Whistleblower
Whistleblower Laws
Bonus Employment Disputes
Bonus Disputes
Securities Employment Disputes
Shareholder Derivative Litigation
Consumer Fraud
Securities Fraud & Consumer Class Actions
Insurance Coverage Claims
Directors & Officers Liability
Debtor-Creditor Disputes
Contests for Corporate Control
SEC Receivership
Real Estate Litigation
Business and Commercial Litigation
Margin Account Claims
Stock Options
Securities Arbitration Lawyer
Sales Practice Obligations
Puerto Rico Securities Fraud & Stock Broker Misconduct
Private Placement/Regulation D
Ponzi Schemes
New York Securities Fraud & Stock Broker Misconduct
Misrepresentation & Omissions
Los Angeles Securities Fraud & Stock Broker Misconduct
Improper Asset Allocation
Hedge Fund Fraud
Equity-Indexed Annuities
Employee Stock Options
Cooperating with Securities Regulators
Churning
Bonds
Unsuitability Claims
Unauthorized Trading
Elder Abuse
New York Securities Fraud
West Palm Beach Securities Fraud
Los Angeles Securities Fraud
Miami Investment Fraud
Naples, FL Investment Fraud
Detroit Investment Fraud
Investment Fraud & Stockbroker Misconduct

Attorney

Nestor Camacho
Katharine C. Moore
Adam J. Stolz
Scott M. Dimond
Jeffrey B. Kaplan
David A. Rothstein
Alexander M. Peraza
Lorenz Michel Prüss

Case Results

Posts

What Should Los Angeles Consumers Do When Their Personal Data Is Exposed in a Major Data Breach?
How Do You Prove Your Stockbroker Was Negligent in Managing Your New York Investment Portfolio?
What Evidence Do I Need to Prove Investment Fraud Against My Los Angeles Broker?
What Should New York Investors Know About Churning Fraud Before It Drains Their Portfolio?
What Legal Options Do Miami Consumers Have When Facing Credit Card Fraud or Unauthorized Charges?
Did Your Broker Offer Unsuitable Investment Recommendations?
DID YOUR COINBASE GET HACKED? What to Do If Your Crypto is Stolen
How Do You Prove Your Stockbroker Was Negligent in Managing Your New York Investment Portfolio?
Coinbase’s Latest Data Breach Raises New Concerns Over Security Practices
Dimond Kaplan & Rothstein, P.A. Secures Another Significant Victory in SIM Swap Arbitration
Everything You Need to Know About Cryptocurrency Account Takeovers
Is Your Video Privacy Being Breached? Understanding the Video Privacy Protection Act
The Rise of Fake Crypto Lawyer Scams
Crypto & Romance: Beware of Pig-Butchering and Romance Scams on Platforms Like Coinbase
Stifel Nicolaus Broker Chuck Roberts Facing Lawsuits Over Structured Note Sales
DMM Bitcoin Hack Exposes Vulnerabilities of Crypto Exchanges
How to Report Crypto Theft: Know Your Rights
5 Red Flags of Investment Fraud
10 Tips for Protecting Your Data & Privacy
Morgan Stanley Broker Ron Filoramo Fired for Alleged Fraud
Dimond Kaplan & Rothstein Investigates Sanford Bernstein/Alliance Bernstein Sales of “Options Advantage” Strategy
FINRA Arbitrators Orders Oppenheimer To Pay Another $14M In John J. Woods Case
$550 Million Penalty Against Goldman Sachs
Amgen case could revolutionize securities fraud cases
Attention Stifel Financial Clients
Dodd-Frank Act Amendments to Investment Advisers Act
Exchange-Traded Funds: Benefits and Risks of the Popular Investment Vehicle
Extension of FINRA Pilot Program Probes for Industry Bias in Securities Arbitration
Financial Reform Legislation and Transparency in Hedge Fund Management
Financial Risk: From Stockbroker Misconduct to Reverse Mortgage Fraud
FINRA to Oversee Investment Advisors on Wall Street?
FINRA’s New Suitability Rule: A Good Start, But Not Enough
Dimond Kaplan & Rothstein is Investigating Claims Against Merrill Lynch Involving Broker William “Bill” Worthen King
Hedge Fund Manager Charged in Most Profitable Insider Trading Scheme Ever
Hedge Funds Investments: Protect Yourself and Your Money
How Safe Is Your Brokerage Account in the United States?
Is FINRA’s Proposed Rule Regarding Back-Office Personnel Too Broad?
¿Qué Tan Segura es su Cuenta de Valores en Estados Unidos?
New Proposal Calls for Stronger Broker-Dealer Audits
Ponzi Schemes: What You Don’t Know Can Hurt You
Penny stock fraud scheme leads to multiple Florida arrests
New Proposal Calls for Stronger Broker-Dealer Audits
Proposed FINRA Rule: Preventing Securities Fraud, Protecting Investors
Proposed SEC Rule Addresses Conflicts of Interest in Securities Transactions
Qui Tam Lawsuits Under the False Claims Act
SEC Crackdown Increasingly Centers Around Negligence Charges
SEC May Change Mandatory Arbitration Rules
Securities fraud class action suits at issue before Supreme Court
Securities Fraud: What You Need To Know As an Investor
Supreme Court to hear securities class action case
The Myth of “100% Protected” Securities
The Psychology of Investment Fraud
The SEC’s Whistleblower Program Pays Out
Whistleblowers Receive Record Reward in 2011
Update: Permanent Rule Change Arising Out of FINRA’s Pilot Program
DKR is Investigating Herbert J. Sims & Co., Inc. (HJ Sims) Relating to Sales of its Reg D Offerings
Wedbush Securities Receives FINRA Warning for Inaccurate Bond Reports
Securities Fraud Encompasses Far More Than Just Ponzi Schemes
Insigneo Securities Broker Antoine Souma Sued for $1.4 Million
Dimond Kaplan & Rothstein Wins Another UBS YES Case
Dimond Kaplan & Rothstein, P.A. Investigating Claims Against Brokerage Firms that Sold GWG Holdings L Bonds
DKR Recovers More than $1.4 Million for UBS YES Investors
FINRA Suspends Ex-J.P Morgan Broker Over Unlawful Trades
The SEC Aims To Decrease Stock Trade Settlement Times By 2024
Auditor Held Accountable For $40m Investment In ‘Sham’ Streaming Company
Notification to Former Morgan Stanley Broker Shawn Good’s Clients
UBS YES Investors Win $4 Million FINRA Arbitration Claim
GWG Holdings, Inc. Files for Bankruptcy – GWG L Bond Holders Urged to Take Immediate Action
Lawyer Involved In An FBI Shootout Sued For $300M Ponzi Scheme
The SEC Has Won An Atlanta Trial In Connection With a $1.7 Million Retirement Savings Fraud
The State Of Massachusetts Fined A Bitcoin Miner $1 Million For Violating The Terms Of The Series A Funding
Investors Seek Class Certification In Bank-Aided Ponzi Scheme Lawsuit
DKR Investigating GWG Holdings For Failure to Pay L-Bonds Interest
A Florida Private Equity Executive Charged $140 Million In Fraud
UBS Financial Services To Pay More Than $1.8M To Investors
Dimond Kaplan & Rothstein, P.A. Stock Offering Lawsuits
Dimond Kaplan & Rothstein, P.A Secures Victory Against UBS
Stock Trading App Robinhood Hit With $70 Million Fine
T-Mobile Customer Sues T-Mobile After Losing $8.7 Million of Cryptocurrency Stolen in SIM Swap Scam
DKR Is Investigating Claims Against Oppenheimer on Behalf of Victims of Alleged $110 Million Ponzi Scheme – Horizon Private Equity III
SEC Cautions Advisers About Faults in ESG Compliance
Hedge Fund Manager Sentenced to 4+ Years for Embezzling $2M
OneCoin and ‘Crypto Queen Face $4B Fraud Suit
Financial Adviser Sued Eckert For Being Targeted by SEC
UBS Must Pay $371K to Clients: FINRA Panel
Former Merrill Lynch Broker Pleads Guilty To $3 Million Scheme
FINRA Suspends Former J.P. Morgan Broker Over Unlawful Trades
Former Broker Stole $400,000 To Pay Gambling Debt
Former Insurance Agent Involved in Alleged $2.5M Fraud
A Man Impersonated Son to Deceive Investor Clients
FinCEN Sanctions Capital One with $390M Fine Over AML Violations
SEC Charges Investment Advisers With Defrauding 17,000+ Retail Investors
DKR Secures Arbitration Award for Client Who Lost Money in GPB Investment
DKR Wins Arbitration Award against Arete Wealth Management for GPB Loses
SEC Cracks Down on 1 Global Ponzi Scheme
Robinhood Accused of Customer Manipulation in Massachusetts Court
Wells Fargo Ex-CEO Ordered to Pay $2.5M Over Scandal
FBI Captures Ponzi Suspect After Underwater Escape Attempt
GPB Capital Takes Millions in Fed Loan Money Amid an Investigation
Adviser Charged with Involvement in $2.95M Fraud
Eagle Point Credit Company, Inc. Investment Losses
Court in Colorado Sentences Financial Visions Ponzi Schemer
JPMorgan Sentenced to Pay $920 Million Over Spoofing Claims
Fox Rothschild and DLA Piper Involved in $170M Ponzi Scheme
Christian Radio Star Involved in $29 Million Ponzi Scheme
SEC Orders VALIC AIG Unit to Pay $40 Million for Violations in Teacher Retirement Plans
Receiver Says Texas Firm Scheef & Stone Involved In $150 Million Securities Fraud
Politician to Settle SEC’s $23M Securities Fraud Claims
SEC Charges Michigan Broker Involved in $1.15 Million Fraud
SEC Sues Ex-Brokers Linked to $22M Belize Airport Ponzi Scheme
Scotiabank to Pay $127 Million due to ‘Massive’ Spoofing Scheme
DKR Files Another FINRA Arbitration Claim to Recover UBS YES Options Losses
UBS Financial Services, Fined $10 Million for SEC Violations
DKR Partner Jeff Kaplan in FINRA Conference Panel
Texas Man Scammed Retired Cops In $14M Ponzi Scheme
New Hampshire is Investigating Claims Against Merrill Lynch Brokers
Former Morgan Stanley Advisor Steals Over $6M from Clients
Dimond Kaplan & Rothstein Putative Class Action Lawsuit Against Baleària
FINRA Renews Membership Process to Curb the Ability to Sidestep Arbitration Awards
DKR Files Class Action Lawsuit Related to Cancelled Baleària Ferry Services to the Bahamas
DKR Files Another FINRA Arbitration Claim to Recover UBS Yield Enhancement Strategy Losses
Morgan Stanley Fined $5M for Misleading Wrap Account Program
SEC Orders RBC to Pay $3.9 Million Over Share-class Disclosure
FINRA Fines and Suspends Ex-LPL Stockbroker for Selling Unapproved Investments
SEC Settles With Former Billion-Dollar Hedge Fund
SEC accuses California Laurel Wealth adviser of “Cherry-picking”
SEC pulls license from New York broker-dealer Portfolio Advisors Alliance
Dimond Kaplan & Rothstein in The Wall Street Journal
Dimond Kaplan & Rothstein in AdvisorHub UBS Article
DKR Continues to Recover Losses from UBS Yield Enhancement Strategy
DKR Secures Victory Against TD Ameritrade
Dimond Kaplan & Rothstein, P.A. Files Additional FINRA Arbitration Claims to Recover Yield Enhancement Strategy Options Losses
Dimond Kaplan & Rothstein, P.A. Secures Victory Against TD Ameritrade
COVID-19 Market Crash Loss Recovery
DKR Files Additional FINRA Arbitration Claims to Recover Yield Enhancement Strategy Options Losses
CFTC Orders Trader To Pay Back $1M From Commodities Scam
Commonwealth Capital CEO Barred By SEC
Dimond Kaplan & Rothstein, P.A. Investigates Leveraged UBS ETRACS Exchange Traded Notes Losses
EquiAlt Ponzi Scheme Was $170M According to SEC
GPB Won’t Deliver Tax Documents to Investors
Oil Boss Charged Over Alleged Ponzi Scheme
Oppenheimer & Co. to Pay More Than $3.8M in Restitution
NEXT Financial Hit With $475,000 Fine for Non-Traded REIT Sales
GPB Capital Announces Delay in the Release of Audited Financials
The SEC Concerned About Consumer Protection Proposes New Rules
Indemnification Is Good, But Advancement Is Even Better: Make Sure You Know The Difference And Level The Playing Field From The Start
‘Attorney-Broker’ Ponzi Suit Belongs In State Court
Wells Fargo To Pay $14.5M In CFTC Swap Standards Action
Financial Sherpa Broker Fined and Barred for Illegal Option Trading
FINRA Fines UBS $2M For Continued Muni Violations
FINRA’s Expungement Reform Proposal
Two Brokerages to Pay $37.5M To Resolve Forex Fraud Claims
Broker Arrested for Running a Multi-billion Ponzi Scheme
CFTC Fines Morgan Stanley Unit, Others for Spoofing
Ex-LPL Broker Accused of Using Fake African Charity to Steal $500k
Merrill Lynch Harvest Collateral Yield Enhancement Strategy Losses
Mutual Fund Waiver Initiative Leads to $89M in Settlements to Clients
Allstate Financial Rep Accused by FINRA of Misuse of Client’s Credit Cards
California Man Pleads Guilty to Illegal Bitcoin Exchange
Former Morgan Stanley Broker Fined $5,000 for Impersonating Clients
FINRA Bars Securities Broker After Failing to Appear in Court
FINRA Requests Broker-Dealers to Provide Advanced Notice of Cryptocurrency Use
DKR Files More FINRA Claims to Recover UBS YES Losses
Former Vanguard Group Employee Pleads Guilty to Money Laundering
Wells Fargo Fined for Lapsed Agent Registrations
Ex-Credit Suisse Employee Admits to Helping Defraud Investors of $2 Billion
Forex Trading Scheme Results in $2.9 Million Judgement for Defrauding Investors
CabbageTech Exec Pleads Guilty to Virtual Currency Fraud
Cadaret Broker Ordered to Pay More Than $1 Million
UBS Yield Enhancement Strategy Caused Unexpected Losses for Investors
DKR Files FINRA Arbitration Claim to Recover UBS Yield Enhancement Strategy Losses
UBS YES Losses lead to DKR FINRA Arbitration Claim Filing
J.D. Nicholas & Associates Exec found Guilty in Excessive Trading Case
Todd Hitt of Kiddar Capital Sentenced for Real Estate Ponzi Scheme
Premium Point CEO Convicted of Securities Fraud
Texas Court Orders Two Defendants in CFTC Bitcoin Fraud Suit to pay $400,000
Former Transamerica broker barred by SEC for Fraud
Merrill Lynch pays $40M Settlement For Broker Churning
Former Merrill Lynch Broker Barred For Accepting Client Loan
FINRA Bars Former Cetera Broker George Merhoff for Non-Compliance
Wedbush Securities Fined $8.1 Million after SEC Investigation of ADR Abuse
New SEC Rules to Impose Higher Fiduciary Duty Standard on Broker-Dealers
FINRA Bars Former Ameritas Broker for Selling Away
Pennsylvania Insurance Agent James Hocker Charged with Fraud
FINRA Singling Out Brokers & Firms with Bad Behavior
LPL Financial Adviser Barred for Refusal to Testify
Greater L.A. Morgan Stanley Broker Accused of Unauthorized Trading
FINRA to Implement Rule to Crack Down on Brokers’ Bad Behavior
C&D Professional Services Advisor Running a Ponzi Scheme
AXA Financial Advisors Sanctioned for Distributing Junk Bonds
JP Morgan Whistleblowers to Receive $50 Million from the SEC for Information in Enforcement Action against JP Morgan
Federal Jury Finds Investment Advisors Guilty of Wire Fraud
Former LPL Broker Suspended and Fined $5,000 for Life Insurance Scheme
SEC Seizes Assets of Pastors in $25M Ponzi Scheme
Developer Michael D’Alessio Pleads Guilty to Investment Fraud
Merrill Lynch to Pay $8M to the SEC
General Electric Company Pays Settlement to Victims of Petters Ponzi Scheme
Charles Vista LLC Investment Banker Found Liable for Fraud
Woodbridge Ponzi Scheme results in FINRA barring broker
Florida Anti-Fraud Bill to Let Advisors Freeze Assets to Prevent Financial Abuse
79 firms to Pay SEC $125M Restitution for 12b-1 Fees
Brokers Threaten to Leave Facing Nevada Fiduciary Duty
Wedbush to Pay SEC $250,000 for Failure to Supervise
GPB Capital Holdings Causes Investor Losses | DKR Investigation
Dimond Kaplan & Rothstein, P.A. Representing Accused in High Profile Florida Prostitution Investigation
SEC Charges Joseph Meyer and Hedge Fund Statim Holdings
Canadian Arrested in LA Over Alleged Ponzi Scheme
$1B Woodbridge Ponzi Scheme Targeting the Elderly
“Selling Away” Continues to Create Liability Exposure for Brokerage Firms
Wedbush Securities Founder to Pay $1M to NYSE
Exec Convicted In $10 Million Saber Funds Ponzi Scheme
HCR Wealth Advisor Agrees To SEC Deal for $1.2M Fraud
Merrill Lynch Fined for Failure to Supervise Eva Weinberg
The Best and Worst States with Elder Financial Abuse Protections
DKR Partner Interviewed by CNN Español About Goldman Sachs Malaysian Criminal Charges
Former UBS Puerto Rico Broker Pleads Guilty to Bank Fraud
OptionSellers.com Causes Millions in Investor Losses
LJM Preservation and Growth Fund Investment Losses
SEC Accuses Two Meyers Associates Brokers of Fraud
Former Wells Fargo Broker J. Gordon Cloutier Jr. Terminated for Misconduct
FINRA Fines Securities America for Failure to Supervise
Former Ameriprise broker Jeffery Joseph Kelly Barred by FINRA
SEC Fines Massachusetts Financial Services $1.9M for Misstatements
Investor Class Action Denied in Puerto Rico UBS Bond Fund Case
SEC Fines Lockwood Advisors Over Excessive Trading Costs
SII Investments Brokerage Firm to Pay Investors for Non-Traded REIT Sales
MC2 Hedge Fund Manager Barred For $10.5 Million Fraud
Three CFTC Whistleblowers Awarded Combined $45M
Ohio’s Westminster Financial Securities Avoiding FINRA Settlement
Ameriprise to pay $4.5M to Settle SEC Charges That Brokers that Stole Clients’ Money
DKR Partner Scott Dimond Named Top 100 Super Lawyers in Miami
StockCross Financial Services Charged with Improper Trading Practices
Ex-UBS Advisor John Maccoll Bilked Clients for Almost $4M
American Finance Trust NASDAQ Listing is Disaster for Investors
Investors Bilked Of $21 Million In EB-5 Hotel Scam
Former Hoplon Financial Group COO Barred for Misuse of Funds
8 Broker-Dealers to Pay $8.7 Million Over Unsuitable Annuity Sales
Fund Manager Ronald A. Fossum Jr. to Pay $1.3 Million for Fraud
Former U.S. Bancorp Broker John Douglas Wade Barred by FINRA
FINRA Fines Unlicensed Brokers for Woodbridge Promissory Notes
Ex-CEO Of Waters Club Holdings Gets Prison for Investor Con
Goldman Sachs Insider Trading Banker Accused of Hundreds of Trades
DKR Partner Michelle Suskauer Named Fastcase 50 Honoree
Ex-Broker Jeffrey Griffin Jr. Gets 10 Years for Stealing Investor Money
FINRA Bars Former Morgan Stanley Manager for Failing to Supervise Abusive Broker
First Allied Rep Barred by FINRA, Fired for Violating Sales Policies
Independent Financial Group Broker Barred by FINRA for Unsuitable Investments
Constant Contact Subscriber Scheme Results in $8M Fine
Oppenheimer Client Receives $800,000 FINRA Award
Mustaphalli Capital Partners Advisor Stole $11M From Clients
Financial Advisor Sentenced for Defrauding Former Colts Football Player Kenneth Ray Cleveland
SEC Sues Lombard Securities Advisor for $8 Million Ponzi Scheme
Valeant Kickback Plot Leads to Convictions in Case
Live Nation Class Action for Inflating Income to Pay Exec Bonuses
Compass Financial Solutions Exec Convicted For $3M Ponzi Scheme
Coastal Equities FINRA Arbitration Leads to Award for Advisor
Long Island Broker Tibor Klein Barred for Insider Trading
PNC, Securities America, Geneos To Pay $12 Million to Clients
PIABA Reports Unpaid FINRA Arbitration Rewards Increased in 2017
SEC Bars Two in Pay-to-Play Pension Scheme
Investment Adviser Luis Petrossi Convicted In $1.1M Fraud Trial
Broker Mark Kaplan Barred by FINRA for Churning
Stock Trader Admits To $3 Million Insider Trading Scheme
SEC Revokes Registration of Pennsylvania Firm DMS Advisors
Securities America Broker Accused of Duping Elderly Clients with Radio Ads
Wedbush Securities Accused of Energy-Sector Investment Losses
Bank of America Masking Scheme Misled Clients About Stock Trades
Florida ‘Shell Factory Fraud’ Six to Pay $2M Disgorgement
Man Used Oil Well to Fraudulently Get Millions of Loans
Did Wedbush Securities Fail to Supervise Another Broker?
Texas Senator Carlos Uresti Found Guilty of Securities Fraud
SEC Settles for $3M in Home Audio Securities Fraud Case
FINRA Bars Former Northwestern Broker for Impersonating Customers
Ex-Wells Fargo Broker Kicked Out of Securities Industry for Misleading the Elderly
SEC Settles with L.A.-based Electronic Transaction Clearing
Former Morgan Stanley Broker Kicked Out of Industry for Unauthorized Trading
SEC Looks for Budget Increase to Hire 13 Advisor Examiners
Former Merrill Lynch Advisor Thomas J. Buck Barred By SEC
Former Cetera Advisor charged with Securities Fraud by SEC
Newbridge Securities Faces Investor Complaints Over REIT sales
Dimond Kaplan & Rothstein Attorneys Support PIABA Foundation
Georgia Man Gets 5 Years For $20M Investment Fraud Scheme
Jury Convicts Man in $2 Million Investment Fraud Scheme
Ex-Morgan Stanley Brokers Plead Guilty to Fraud Charges
Former LPL Advisor Suspended Over Inequitable Sales Practices
FINRA Expands Regulatory Effort to High-Risk Brokers
DKR Files FINRA Arbitration Claim against Newbridge Securities
FINRA Fines Wedbush Securities $1.5M for Consumer Protection
ICO Regulation Expected to Increase in 2018
Exec Plays Lead Role in ConvergEx Fraud Scheme
Dimond Kaplan & Rothstein, P.A. Files FINRA Arbitration Claim Against Wedbush Securities
SEC Charges Robert Shapiro in Woodbridge Ponzi Scheme
Florida Bar President-Elect Michelle Suskauer joins Dimond Kaplan & Rothstein, P.A.
Citigroup Stock Ratings Result in FINRA Fine
Investacorp Censured by FINRA for Leniency on Fund Sales
Woodbridge Group Files Bankruptcy, Fails to Pay Dividends
Ameriprise and Other Firms to Pay $9M for F-Squared Sales
Drop in CFTC Enforcement Actions for 2017
Next Financial Group Fined Again by FINRA
LPL Financial Fined $1M for Sales of Unsuitable REITs
Wedbush Securities NYSE Complaint For Founder
ETFs Could Benefit from DOL Fiduciary Rule
LPL Financial Ponzi Scheme Results in Fine
Wells Fargo ETFs Result in $3.4 Million Fine
Credit Nation Capital Attorney Participated in $30M Ponzi Scheme
FINRA Ranks Brokers to Expose Stockbroker Misconduct
FINRA Claim Against Wedbush Securities Energy Limited Partnership
Adviser Michael Scronic Charged in Multi-Million Dollar Options Trading Scheme
SEC Says ‘Initial Coin Offerings’ Deceived Investors
Morgan Stanley Failed to Supervise Sales of Unit Investment Trusts
S&P Policy Unlikely to Thwart Multiclass Stock Structures
FSC Securities Fined Over Failure to Supervise ETF Sales
Parts of DOL Fiduciary Rule Postponed Until 2019
SEC Warns of ICO Fraud
WFG Investments Rep’s ETF Trades Cost Customers
Understand How a Ponzi Schemes Works
SEC Files Case Against Broker Dealers Targeting Federal Employees
6 Major Banks Named in Last Look Lawsuits
Infographic: Crowdfunding Total Funding Volume
Bitcoin Fraud Charges Filed by SEC
Could a Digital Currency Index Be the Future?
Coinbase Will Pay Back Ethereum Flash Crash Losses
What to Know about Bitcoin Fraud While Investing
Investment Fraud is Fourth Most Common Cybercrime
Infographic: Understanding Whistleblower Claims
Former SEC Staffer Charged with Securities Fraud Violations
Court Could Enforce Fraud Claim Statute of Limitations
Infographic: Understanding Securities Fraud By the Numbers
Providence Financial Investments Seeking Claw Back in $64M Fraud Case
Infographic: Understanding FINRA Arbitration
LPL Financial Fined for DCU Financial Broker Supervision
LPL Financial May Owe Refunds to New Hampshire REIT Investors
President Trump Planning Imminent Dodd-Frank Reform
Making an Investment Fraud Recovery Plan
A Look at 2016 Securities Fraud by the Numbers
Part 3 | Protecting Your Money: Reacting to Investment Fraud Action
Part 2 | Protecting Your Money: Identifying and Avoiding Investment Fraud
Part 1 | Protecting Your Money: Explaining & Understanding Investment Fraud
How a Shareholder Derivative Lawsuit Works
Hiring a Securities Fraud Attorney Can Make a Difference
Preventing and Addressing Unauthorized Trading in Your Account
CFTC Tells 11th Circuit that Florida Company Defrauded Investors
FINRA Fines LPL Financial for Record-Keeping Problems
Morgan Stanley Settles Inverse ETF Charges with SEC
Resolving Securities Disputes through FINRA Arbitration
Investigation of Legend Stockbroker Walter Marino
Why Crowdfunding Investing Can Be Safe from Fraud
Managers Arrested in Platinum Partners Fraud Scheme
Five Years for LPL Broker Charles Frackell
Verdict for Supreme Court Insider Trading Case
Merrill Lynch to Pay for Leveraged Puerto Rico Bonds
FINRA Proposes Rules Against Financial Elder Abuse
FINRA Fines, Bans Etter Group Investment Broker
United Development Funding IV Hit With SEC Wells Notice
SEC Bars Former LPL Broker for Churning
UBS Seeking Dismissal of Breach of Duty Class Action
SEC Enforcement Hits Record Highs
SEC Fiduciary Rule On Hold for Now
Massachusetts Charges Morgan Stanley with Unethical Conduct
UBS Pays SEC $15M Over Sales Practices
CFTC Proposes Several Changes to Whistleblower Program
Investment Losses Resulting from Unauthorized Trading
SEC May Expand Definition of Investor as Related to Private Placements
Barclays Fined $1.3 Million Over Reporting Errors
False Claims Acts Penalties to Nearly Double by August
SEC Bans New Jersey-Based Debt Portfolio Scammer
Merrill Lynch to Pay $415 Million to Settle SEC Charges Over Misused Customer Funds
FINRA Accuses G.F. Investment Services Adviser of Losing Millions
Uber Text Messages May Violate Your Rights
Claims Made Against Wells Fargo Broker Charles Lynch
Morgan Stanley Florida Broker Connected to Elder Fraud
Wedbush Supervisory System Failed to Protect Customer Reserves
Morgan Stanley Broker Harvey Siegel facing FINRA Arbitration Claim
Investigating a FINRA Arbitration Claim against a Wells Fargo Broker
FINRA Files Complaint Against CEO for Fraud and Misuse of Customer Funds
Vanguard Natural Resources Investment Losses Due to Stockbroker Negligence
FINRA Claim Filed to Recover Breitburn Energy Investment Losses
Recover Your SandRidge Energy Investment Losses with a FINRA Arbitration Claim
UDF Fraud (United Development Funding) and Investment Losses
MetLife Pays $25 Million FINRA Sanction Over Variable Annuities
DKR Files FINRA Arbitration Claim Against JP Morgan Securities
Former RBC Capital Markets Broker Paul Blum Being Investigated
Scottsdale Capital Advisors Challenges FINRA Enforcement Powers
Department of Labor Relaxes Part of Final Fiduciary Rule
FINRA Arbitration Primer – Final Part | FINRA Arbitration Lawyer
SEC in California Freezes Ponzi Scheme Adviser’s Accounts
FINRA Arbitration Primer – Part 7 of 8 | FINRA Arbitration Lawyer
FINRA Arbitration Primer – Part 6 of 8 | FINRA Arbitration Lawyer
FINRA Arbitration Primer – Part 5 of 8 | FINRA Arbitration Lawyer
SEC Sues Oregon Investment Co. $350M for Ponzi Scheme
Recent SEC Awards Likely to Attract Outside Whistleblowers
FINRA Arbitration Primer – Part 4 of 8 | FINRA Arbitration Lawyers
FINRA Arbitration Primer – Part 3 of 8 | FINRA Arbitration Lawyer
Six Banks Pay $100 Million for Class Action Claims
FINRA Arbitration Primer – Part 2 of 8 | FINRA Arbitration Lawyer
FINRA Arbitration Primer – Part 1 of 8 | FINRA Arbitration Lawyer
FINRA Accuses VFG Securities of Improper Sales of REITs and Other Private Placements
Barclays Pays $50 Million to Settle NY Forex Rigging Claims
Three Brokerage Firms Hit with $1.2 Million in Fines and Restitution for UITs
Why All the Fuss About a Fiduciary Standard for Stockbrokers?
Investors Win $825,000 in FINRA Arbitration Against Morgan Stanley
JP Morgan to Pay $1.42 Billion to End Most Lehman Claims
Crowdfunding Growth Poses Challenges
SEC Plans to Investigate ETFs
Puerto Rico Defaults on Bond Payment
SEC Seeking Private Investor Standard Updates
Massachusetts Securities Regulators Investigating Third Avenue Junk Bond Fund
Energy Stocks and Oil and Gas Investment Losses
Third Avenue Focused Credit Fund Collapse May Create Bond ETF Problems
JP Morgan Settles SEC & CFTC Probes for $307 Million
New Jersey Broker-Dealer Fined $475,000 Over Annuity Allegations
Newport Coast Securities Fined for to Elder Financial Fraud
Lincoln Financial Advisors Fined $150,000 Relating to Hedge Fund Investments
FINRA Fines Arkansas Brokerage Firm R.M. Duncan Securities Inc.
Brokerage Firm Sterne Agee Financial Services Fined as a Result of Leveraged ETF Sales
Wedbush Securities’ Regulatory Troubles Continue
Barclays Bank Fined Another $150 Million in NY Forex Matter
Realty Capital Securities Charged with Fraud in Massachusetts
FINRA to Seek “Significant Fine” From MetLife Over Variable Annuity Sales
Ex-JP Morgan Banker Charged with Stealing $20 Million from Clients
SEC Passes Long Awaited Crowdfunding Rules
Massachusetts Blames Fidelity Investments of Failing to Block Unregistered Advisers
Five Brokerage Firms Ordered to Pay $18 Million for Mutual Fund Overcharges
FINRA’s New Proposal to Stop Elder Fraud Abuse
FINRA Bans Firm and CEO Over Drug Kickback Scheme
UBS Fined $17.5M For Investment Strategy Switch
UBS Settles With SEC for $20M Over Structured Note Disclosures
FINRA Fines 6 Brokerage Firms for Improper REIT Sales
FINRA Sanctions UBS Puerto Rico $18.5 Million
SEC Proposes Modernizing In-House Court
UBS Will Pay $34 Million Over Puerto Rico Bond Funds
Brokerage Firm LPL Financial Agrees to $1.8 Million Penalty Over Sales of Leveraged ETF Investments
SEC Files Fraud Charges Against Arizona Residents for Stealing $18 Million
LPL Financial and Top Broker Part Ways Amid Regulatory Investigation
Understanding the Various Types of Annuities
Securities Employee Bonus Plan Disputes
What is Investment Fraud?
Evaluating Your Stock Risk Tolerance
The Puerto Rican Debt Crisis Continues
Planning for Retirement and Protecting Your Investments from Mismanagement
Massachusetts Fines LPL Financial $250,000 for Misleading Broker Titles
FINRA Orders $30 Million in Restitution from Wells Fargo, Raymond James & LPL Financial
How to Handle Unsuitable Investments
How to Avoid Investment Misrepresentation & Fraud
FINRA Fines Morgan Stanley Wealth Management and Scottrade Inc.
Roderick Yzaguirre Former Merrill Lynch Broker Under Investigation
Virtus AlphaSector Funds and F-Squared Investments
The Puerto Rico Financial Crisis Close to a “Death Spiral”
Ex-NFL Player Charged with Securities Fraud in $32M Ponzi Scheme
U.S. Supreme Court Revives Deutsche Bank Class Action Lawsuit
SEC Charges New York Lawyer and Promoters with Market Manipulation
Carlsbad, California Stockbroker Pleads Guilty to $6 Million Investment Fraud
Citigroup Is One of Five Banks that Collectively Will Pay $5.6 Billion to Settle Criminal Charges
Newport Beach Resident Pleads Guilty to Investment Fraud
Justice Department Declines to Prosecute Citigroup on LIBOR Rigging Charges
Goldman Sachs Ordered to Pay $100 Million to FINRA Arbitration Award
FINRA Expels Broker and Fines Brokerage Firm
FINRA Sanctions LPL Financial $11.7 Million for Supervisory Failures
Deutsche Bank to Pay $2.5 Billion to Settle Libor Rigging Charges
FINRA Rule Would Protect Military Personnel
S&P Downgrades Puerto Rico Bonds Again
FINRA Kicks Wells Fargo Broker Out of Securities Industry
FINRA Fines and Suspends Boca Raton Stockbroker
FBI Charges Syracuse Man with Investment Fraud
Class Action Over UBS Puerto Rico Bond Funds Moved From Puerto Rico to New York
Oil and Gas Limited Partnership Losses
SEC Investigating JP Morgan Asset-Management Conflicts
SEC To Crack Down On Retail Sale of Complex Securities
Ex-JPMorgan Broker Charged With Stealing $20 Million
Former New York Powerbroker Charged with Fraud
LPL Faces $3.6 Penalty Relating to Non -Traded REIT Sales
UBS Agrees to $135 Million Forex Class Action Lawsuit Settlement
Consumer Financial Protection Bureau Says Mandatory Arbitration is Bad for Consumers
Two Men Sentenced to Prison for $21M in Los Angeles Investment Fraud Scheme
Former California Stockbroker Charged in “Pump-and-Dump” Scheme
Federal Government Poised to Impose Investment Advisor Fiduciary Rule
Additional Puerto Rico Firms Fined Over Trade Supervision Failure
S&P Cuts Puerto Rico Credit Rating Further into Junk Status
REIT Investors May Suffer Significant Investment Losses
USDOJ Launches Probe of Moody’s Investors Service’s “Optimistic” Risk Assessments
UBS Apparently Pressured Brokers to Sell Risky Puerto Rico Funds?
Class Certification Denied Against MetLife Involving $216 Million Ponzi Scheme
Oppenheimer fined $20 Million Over Penny Stock Trades
S&P to Pay Nearly $1.5 Billion to Settle Lawsuits Over Faulty Bond Ratings in Securities Fraud
SEC Fines and Suspends Standard & Poor’s
FINRA Expels John Carris Investments
FINRA Expels Brokerage Firm and CEO for Trading Ahead
FINRA Fines Dallas Brokerage Firm WFG Investments $700,000
Wells Fargo fined $1.5 million for Anti-Money Laundering
Regulators To Close Insurance License Loophole
FINRA Kicks Broker Out of Industry for Stealing from Elderly Client
How Can I Avoid Being the Victim of Investment Fraud?
Wedbush Securities Founder Edward Wedbush Loses Appeal
Brokerage firms’ Loans Are an Increasing Risk to Investors
Fight Investment Fraud
LPL Investment Loss (REITs)
Investment Broker Michael Frew Barred by FINRA and the State of California from Securities Practice
SEC Receives $2.4 Million from Wedbush Securities Fraud
Citigroup Investment Loss from Analyst Fraud
UBS Puerto Rico Supervisors Lack Required Supervisory Licenses?
Stock Broker Fraud Case: Ex-Ameriprise Broker Pleads Guilty to Stealing Nearly $1 Million
Regulators Team Up to Fight Investment Fraud
The Latest in the UBS Puerto Rico Securities Fraud Saga
Securities Fraud at Issue in Complaint by SEC Against BBX Capital
SEC Sanciones 13 Firmas de Corretaje Para Ventas Impropias de Bonos Basura de Puerto Rico
SEC Sanctions 13 Brokerage Firms for Improper Sales of Puerto Rico Junk Bonds
Terminated LPL Financial Broker James “Jeb” Bashaw Finds New Home
LPL Financial Broker James “Jeb” Bashaw Fired for Selling Unapproved Securities
SEC Considering Changing Accredited Investor Standard
LPL Financial Terminates Houston Branch Manager James “Jeb” Bashaw
Barclays to Pay $20 Million to Settle LIBOR Rigging Lawsuit
Wedbush Securities Sued for Naked Short Sale Scheme
SEC Verdict for$40.7 Million for Bitcoin Ponzi Scheme
Wells Fargo Penalized $5 million for Broker’s Insider Trading
Morgan Stanley Fined for Failures Relating to Ponzi Scheme
FINRA Files Complaint Against Los Angeles-Area Brokerage Firm Newport Coast Securities
Merrill Lynch Shows the Door to a Team of High-Net-Worth Stockbrokers
Wall Street Needs More Transparency, Not Less
SEC Charges Minneapolis Hedge Fund Manager With Securities Fraud
SEC Charges Wedbush Securities and Two Officials With Securities Violations
FINRA Accuses Wedbush Securities of Regulatory Violations . . . AGAIN!
Puerto Rico Electronic Power Authority Escapes Financial Ruin
Recuperar Pérdidas por Inversión en Glanmore Property Fund
UBS Puerto Rico Under Investigation for Criminal Fraud
Puerto Rico Bonds – Rating Agency Issues Third Vote of No Confidence
Dodd-Frank Act Amendments to Investment Advisers Act
Could FINRA’s Debt Research Rule Prevent Next Sub-Prime Mortgage Crisis?
Clawback Lawsuits on Rise in Aftermath of Ponzi Schemes
Rebaja de los bonos de Puerto Rico a la categoría “basura”: se espera que los inversores sufran más pérdidas
SEC Charges Legg Mason Affiliate With Defrauding Clients
Beverly Hills Stockbroker Bambi Holzer Kicked Out of Brokerage Industry
FINRA Seeks Greater Transparency in Non-Traded REIT Statements
Puerto Rico Bonds Now Junk – Investors Expected to Suffer More Losses
Florida advisor sentenced to 9 years for securities fraud scheme
Stockbroker linked to multi-million fraud agrees to settlement
Florida men charged for cheating investors in fraud scheme
Implications from recent insider trading enforcement efforts
New Hollywood biopic dramatizes real-life security fraud
Do firms misrepresent the risk factor in structured products?
Former politician convicted of $13 million securities fraud
Broker cooperation may be possible in securities fraud lawsuits
U.S. Supreme Court may revisit fraud on the market doctrine
Florida man faces securities fraud charges for SEC filings
Hedge fund enters guilty plea in securities fraud lawsuit
Mortgage lender implicated in churning lawsuit
Hedge Fund SAC Capital May Pay Record Insider-Trading Fine
Company defends against securitized subprime loan scandal
Beverly Hills Stockbroker Bambi Holzer Sued by FINRA
Massachusetts Regulator Investigates Puerto Rico Bond Investments
U.S. Treasury Has No Plans to Prevent Puerto Rico Bond Losses
UBS Demands Repayment of Loans Used to Buy UBS Bond Funds
UBS exige reembolso de préstamos usados para comprar los fondos de bonos de UBS
Trial begins against co-conspirators in Madoff Ponzi scheme
Puerto Rico Bond Investment Losses
Puerto Rico Bond Pérdidas de Inversión
Former Merrill Lynch and Waddell & Reed Stockbroker Fined and Suspended
UBS Bond Fund Investment Loss Claims
Corredores y casas de bolsa evitan los bonos municipales de Puerto Rico
Brokers and Brokerage Firms Avoid Puerto Rico Municipal Bonds
FINRA Reminds Investors to Be Careful Investing in Private Placements
UBS Puerto Rico Fined for Bond Fund Misconduct
Former Securities Professional Sentenced for Hedge Fund Fraud
ING Stockbroker Barred from Securities Industry
FINRA Fines and Suspends Former Wells Fargo Stockbroker
Law Firm Settles Claims Related to its Representation of Ponzi Schemer
Stockbroker Misconduct Results in Retirees’ Lost Savings
FINRA Slaps Morgan Stanley with $1 Million Fine
Florida Brokerage Firm Hunter Scott Financial Fined for Excessive Charges
Wells Fargo and Banc of America/Merrill Lynch Ordered to Pay Customers More Than $3 Million
Wedbush Securities’ Regulatory Troubles Continue
Hedge-Fund Manager Philip Falcone Admits Wrongdoing to SEC
Securities Regulators Concerned About Alternative Investment Sales
Edward D. Jones & Co. Fined for Excessive Bond Charges
FINRA Fines Los Angeles-based Wedbush Securities – AGAIN!!
Fraudulent Mortgage-Backed Securities Remain a Problem
FINRA Investigating Former Wedbush Securities Stockbroker Bambi Holzer
Securities Fraud Lawsuits Against Bank of America
Market Recovery Coincides with Fewer Securities Fraud Filings
Survey Casts Doubt Upon Ethics of Securities Advisors
RBC Capital Markets Fined for Bond Fraud
Raymond James Fined TWICE for Bond Fraud
Wedbush Securities in Los Angeles, California Fined AGAIN!
Citigroup Fined for Unfair Bond Pricing
Fidelity Fined for Excessive Bond Pricing
FINRA Fines Brokerage Firm Janney Montgomery Scott
Southwest Securities, Inc. Fined for Bond Fraud
SEC Charges Steven A. Cohen With Failing to Prevent Insider Trading
Galemmo Investment Group, Queen City Investment Funds, and Landmark Investment Group Investment Fraud Losses
J.P. Morgan May Be Fined Hundreds of Millions of Dollars for Energy Price Manipulation
Barclays Fined $435 Million for Manipulating Electricity Prices
SEC Obtains Judgments Relating to Capital Solutions
FINRA Fines StateTrust for Fraudulent Bond Trades
FINRA Fines VSR Financial Services $550,000
SEC Rule Regarding Hedge Fund Advertising Could Increase Investment Fraud
FINRA Kicks New York Broker Out of the Securities Industry
FINRA Kicks Sanford, Florida SunTrust Stockbroker Out of Securities Industry
Fifth Third Stockbroker Kicked Out of Securities Industry
FINRA Bars Oppenheimer Stockbroker from Securities Industry
LPL Financial Fined for Municipal Bond Fraud
New York Brokerage Firm Bishop, Rosen & Co. Fined for Municipal Bond Fraud
FINRA Accuses NFP Broker David Mickelson of Lying About Micro Pipe Fund Sales
StockCross Financial Services Fined for Bond Fraud
ASAM/Andrew Rosenberg and Stuart Horowitz Sales of Capital Solutions and Other Private Placements
FINRA Accuses Morgan Stanley Smith Barney Broker of Churning
Massachusetts Securities Regulators Concerned About Alternative Investments, Reits.
FINRA Warns Investors About Alternative Funds
SEC Seeks Admissions of Fault
Municipal Bond Investors: Victims of Securities Fraud?
UBS Willow Fund Brokers
Florida man guilty of $13.2 million securities fraud scheme
UBS Willow Fund Investment Losses
Subprime mortgage scandal continues to make Miami headlines
SEC penalties limited in fraud case
Securities arbitration may be subject to limitations period
Miami brokers implicated in kickback scheme
SEC accuses Miami officials of municipal bond fraud
SEC accuses municipal leaders of securities fraud
Goldman Sachs Ordered to Pay Investor $2.5 Million
Hennessey Financial n/k/a Capital Solutions Investment Fraud
Level Global Hedge Fund Co-Founder Sentenced to Prison
Washington Man Uses JOBS Act to Lure Investors into Fraud Scheme
Warning: Commercial Property Foreclosures May Be On the Horizon
SEC stalls in issuing new regulations for small investors
Florida man charged with penny stock scheme
False AP tweet impacts market, causes trading flurry
Florida investors lose lawsuit against SEC
John Thomas Financial and CEO Tommy Belesis Charged with Securities Fraud
Success Trade Securities and Fuad Ahmed Accused of Investment Fraud
DBSI Securities Fraud: Four DBSI Executives Charged with Securities Fraud
Investors show renewed interest in Chinese securities
LPL Financial Facing Customer Complaints over Non-Traded REITs
Exchange-Traded Funds (ETFs) Tracking Errors
SEC governance extends to social media
Stockton, California Municipal Bond Investment Losses
Another Ponzi scheme dupes a Florida investor
SEC Charges Man with Stealing Investor Funds Intended for Pre-IPO Facebook Shares
Fraud continues to plague Florida investors
NFL players deceived by adviser misrepresentations
Bond Investors Should Pay Attention to Interest Rates
Oppenheimer Fined for Misleading Investors
U.S. Supreme Court rules in securities class action lawsuit
Florida Securities Fraud Cases May Be on the Rise Due to REIT Investments
Unlicensed investment adviser receives sentence
Securities fraud allegedly committed by man at Florida firm
CFTC Fines Goldman Sachs $1.5 Million
Florida man accused of stockbroker fraud
Apple Equity-Linked Notes Cause Millions in Losses
Another person brought to justice after defrauding investors
Stockbroker defrauds client of 1 million dollars
Securities fraud lawsuit hits snag in US Supreme Court
‘Flipping’ scam reaches across country, costs investors $200 million
FINRA Reminds Brokerage Firms of Sales Practice Obligations Relating to Principal-Protected Notes
Former Florida portfolio manager indicted on securities fraud charges
UBS Admits Rigging LIBOR Rates, Agrees to $1.5 Billion Settlement
Banker arrested for insider trading in Florida
Hedge fund convicted of wire-fraud, insider trading
Michigan Stockbroker Engaged in Unauthorized Trading
Brokerage Firm Misrepresented Complex Securities to Elderly Couple
Wedbush Securities Fined $300,000 and its President Suspended
Prosecutors file charges for $2.7 million in investment fraud
Securities and Exchange chairwoman steps down
Two brothers allegedly involved in separate fraud schemes
Pérdidas de Inversión en el Glanmore Property Fund y el Glanmore Property Accumulation Fund Limited
Perdas de Investimento na Glanmore Property Fund e Glanmore Property Accumulation Fund
Florida graduate, experienced Ponzi schemer
JOBS Act requires Securities regulation before going into effect
Government aims to reduce investment fraud through education
Previously sanctioned Florida attorney suspected of securities fraud
Stockbroker arrested after defrauding Broadway production
FINRA Expels Brokerage Firm and CEO for Defying SEC
Florida man pleads guilty to massive investment fraud
Ponzi Schemes and How to Protect Yourself
SEC Charges Four Brokers With Defrauding Customers in $18.7 Million Scheme
Fraudsters Investment Scam Techniques Improve, Fool Professionals
Dodd-Frank Act Creates Uncertainty for Whistleblowers
Investment Firms and Advisor Slapped with $23.5M Settlement
Stockbrokers and Brokerage Firm Settle Churning Claims with SEC
Former Altera Executive Pleads Guilty to Giving Insider Tips
Citigroup Settles Shareholder Lawsuit for $590 Million
Merrill Lynch Agrees to pay $400,000 to Settle Fund-Churning Case
Filings of Securities Lawsuits Drop in First Six Months of 2012
Another Hedge Fund Founder Guilty Of Insider Trading
SEC Busts Alleged Puerto Rico Ponzi Scheme
Colorado Investment Fraud
SEC Charges New York-Based Firm and Owner in Penny Stock Scheme
Mortgage-Backed Securities Probe Promising Results
Ruling Increases SEC Authority to Prosecute Directors and Officers
The Flexible Definition of Insider Trading
Proposed Bill Would Help SEC Crack Down on Securities Fraud
ThinkStrategy’s Kapur Faces Indictment For Securities Fraud
SEC Charges Mizuho with Misleading Investors by With False Credit Ratings for CDO
Philip Falcone, Harbinger Capital Partners Charged with Securities Fraud
Pleading Guilty, Peter Madoff Claims No Knowledge of Fraud
SEC Freezes Assets of Missing Georgia-Based Investment Adviser
FBI Hunts Georgia Investment Advisor Accused of Stealing Millions
More than $200 Million Missing from Commodities Firm’s Customers’ Accounts
Goldman Sachs Back Under Microscope
Magnate Rajat Gupta Convicted of Hedge Fund Fraud
Misled Bond Fund Investors to Receive $35 Million from Oppenheimer
Feds Prosecuting Securities Fraud, Ponzi Schemes in South Florida
Citigroup Settles Misrepresentation Allegations for $3.5 Million
Two Florida Men Sued by SEC for Funding Ponzi Scheme
Fraud Suit Against Goldman Sachs Proceeds
Court Revives SEC Fraud Lawsuit Against Morgan Keegan
Sokol’s Shadow Continues to Hang Over Berkshire
FINRA Sanctions Brokerage Firms$9.1 Million For Leveraged ETF Sales
SEC Charges Former Morgan Stanley Executive with FCPA Violations and Investment Adviser Fraud
Morgan Keegan Fined for Pension Investment Kickbacks
Well Known Investment Advisor Indicted for Stealing from Pension Plans
Dimond Kaplan & Rothstein, P.A. Wins Arbitration Award Against Wedbush Securities
ETN Investment Losses – Credit Suisse VIX Note Crashes
Barclays Gas ETN Plummets as Credit Suisse VIX Note Crashes
FINRA Expels Stockbroker Over Leveraged ETFs Sales
Former Edward Jones Administrator Permanently Barred for Stealing Money
Los Inversores de Lehman Brothers Todavía Tienen Tiempo para Presentar Reclamaciones FINRA
Investidores do Lehman Brothers ainda tem tempo para apresentar queixa com FINRA
FINRA Fines Have Increased, But Don’t Get Too Excited
Investors Should Pay Attention to Account Statements and Trade Confirmations
LPL Ordered to Pay 1.4M to Elderly Couple for Investment Losses of REITs
Behringer Harvard, Inland, Desert Capital, and Other REIT Investment Losses
Vanguard Founder is Critical of Exchange Traded Funds
Forbes Article About Our Recent Arbitration Award
Madoff Arbitration Award
CapWest Securities, Inc. Slammed with $9 Million-Plus FINRA Arbitration Award
Exchange-Traded Funds: Risks of the Popular Investment Vehicle
Corzine Admits That He Does Not Know Where Missing Money Is
How Should Regulators Handle Exchange Traded Funds?
UBS’s Sales of SinoTech Energy Limited Shares
NEXT Financial Group Ordered to Pay $2 Million Due to Provident Royalties Sales
Improper Sales of Highland Floating Rate Advantage Fund
MF Global Customer Money Still Missing
FINRA Orders Chase to Reimburse Customers $1.9 Million and Fines Chase $1.7 Million
FINRA Fines Wells Investment Securities $300,000 for Sale of Misleading REIT
MF Global Senior Note Investment Losses
MF Global Admits Using Clients’ Money – Corzine’s Firm Admits Approximately $700 Million Missing
FINRA Fines Merrill Lynch $1 Million for Supervisory Failures That Allowed a Broker to Operate a Ponzi Scheme
Securities and Exchange Commission Sues James Risher and Daniel “DJ” Sebastian in Connection with the Jade Asset Ponzi Scheme
SEC Charges Former Goldman Sachs Employee and His Father with Insider Trading
Oppenheimer Loses $1.1M FINRA Arbitration in Denver, Colorado
Raymond James Ordered to Pay Investor More Than $1.5 Million
FINRA Fines Brokerage Firm for Due-Diligence Failures Related to Provident and Medical Capital
Wedbush Morgan Securities Gambles and Loses Another FINRA Arbitration
J.P. Morgan to Pay $153.6 Million for Misleading Investors
FINRA Imposes New Licensing Requirements
Goldman Sachs Contradicts Its Own Investment Recommendations
FINRA Charges David Lerner & Associates Unsuitable Recommendations and Misrepresentations and Omissions Regarding Apple REITs
Puerto Rico Conservation Trust Fund Investment Losses
FINRA Fines Santander Securities of Puerto Rico $2 Million
Goldman Sachs Cited for Misconduct in Selling Collateralized Debt Obligations
Miami, Florida Stockbroker Cynthia “Cinder” Franke Accused of Wrongdoing
FINRA Arbitration Panel Slams Securities America for Sale of Medical Capital Ponzi Scheme
UBS KEEPS LOSING LEGAL FIGHTS OVER SALES OF LEHMAN NOTES
Merrill Lynch Brokers Recover Deferred Compensation
SEC Charges Two Florida-Based Fund Managers with Facilitating Ponzi Scheme
FINRA Proposes Rule to Eliminate Securities Industry Arbitrator
Lydian Private Bank Cited for Inadequate Supervision
Welcome to Our Miami, Florida Investment Fraud Blog
Investors Unlikely to Recover Significant Money from Medical Capital Receivership
SEC Stops $34 Million Jacksonville, Florida Ponzi Scheme
SEC Charges Palm Beach County Investment Adviser With Running a Ponzi Scheme and Stealing Client Funds
Assets Recovered by SEC Receiver for Medical Capital Fall Far Short of Investor Losses
FINRA Fines Westpark Capital for Failing to Supervise Bad Brokers
Wells Fargo Ordered To Pay $30 Million in a Lawsuit Alleging Breach of Fiduciary Duty and Consumer Fraud
FINRA Fines Brokerage Firm Piper Jaffray $700,000 for Email Retention Violations
FINRA ARBITRATOR AWARDS $400,000 TO MEDICAL CAPITAL INVESTOR
Merrill Lynch Stockbroker Sentenced to Prison in New York
Wedbush Morgan Securities Fined by FINRA
Former Merrill Lynch and Wachovia Stockbroker Suspended from Securities Industry
Kentucky Stockbroker Kicked Out of Securities Industry
Massachusetts Stockbroker Barred from Securities Industry
FINRA Bars Minnesota Stockbroker from Securities Industry
FINRA Bars New Jersey Stockbroker from Securities Industry
Merrill Lynch, Pierce, Fenner & Smith Fined $300,000
Medical Capital Investors Stand to Lose Approximately $1 Billion — FINRA Arbitration Claims May Be Best Chance to Recover Losses
SEC Charges Miami Beach, Florida Businessman in $900 Million Ponzi Scheme
FINRA Reminds Brokerage Firms of Their Obligations When Selling Regulation D Offerings & Private Placements
Securities and Exchange Commission Charges Goldman Sachs with Fraud
FINRA Considers Removing Securities Industry Arbitrator
Seattle ING Broker Rhonda Breard Barred for Defrauding Clients and Stealing Clients’ Money
Medical Capital Investment Losses Remain Greater than $1 Billion — FINRA Arbitration Claims May Be Best Chance to Recover Losses
Colorado Broker Loses Securities License after Selling Medical Capital Holdings Inc. Private Placements
Securities Regulators Sue Morgan Keegan & Company and Seek to Revoke Securities Licenses
SEC Sues Morgan Keegan and Two Employees for Fraud Related to Regions Morgan Keegan Bond Mutual Funds
FINRA Files Complaint Against Morgan Keegan & Company for Misleading Customers Regarding Risks of Bond Funds and Other Violations – Seeks Fine, Disgorgement of Profits, Full Restitution to Customers
SEC Charges Ohio-Based Investment Adviser with Defrauding Clients in Several States
Medical Capital Criminal Investigation
Medical Capital Investors Unwittingly Invested in Pornography
Wedbush Morgan and Broker Bambi Holzer Sold Provident and Shale Royalties
SEC Charges South Carolina-Based Lawyer in Scheme Promising Investors Returns as High as 4,900 Percent
SEC Halts Ponzi Scheme Preying on Retirees Who Attended Estate Planning Seminars
SEC Charges San Diego Brokerage Firm with Failing to Supervise Broker Who Defrauded Two Florida Municipalities
SEC HALTS PONZI SCHEME TARGETING RETIRED BUS DRIVERS
Medical Capital Investors’ Best Hopes for Recovery of Investment Losses Appear to be Arbitration Claims Against Brokerage Firms that Sold the Investments
Massachusetts Securities Regulators Have Sued Securities America, Inc.
Medical Capital Investors Still Owed $1.7 Billion
FINRA Bars New York Broker
FINRA Bars Miami, Florida Broker
SEC Halts Fraudulent Scheme Targeting Iranian-American Community in Los Angeles
SEC Charges Houston-Based Broker With Defrauding Florida Municipalities
Colorado Stockbroker/Ex-Mormon Bishop Pleads Guilty
SEC Obtains Freeze of Provident Officer’s Assets
U. S. Securities and Exchange Commission Bars Investment Advisor Charles B. Ganz
Medical Capital Receivership Continues to Leave Investors Shortchanged
Medical Capital Receiver Paints Grim Financial Picture
SEC Obtains Asset Freeze of North Carolina Couple Orchestrating $32.5 Million Investment Scheme
FINRA Fines NEXT Financial Group $1 Million for Supervisory Failures
SEC Sues Regions Bank
U. S. Securities and Exchange Commission Accuses Medical Capital of Securities Fraud
Regulators Accuse DBSI of Securities Fraud
Securities and Exchange Commission Accuses Provident Royalties, LLC of Running $485 Million Ponzi Scheme
New Hampshire Securities Regulators Accuse UBS Financial Services, Inc. of Misleading Investors about Lehman Brothers Principal Protected Notes
Worldwide Financial Institutions, Charities, Foundations, Philanthropists, Politicians, and Others are Victims of Madoff Ponzi Scheme
Bernard L. Madoff Admits He Ran Massive Ponzi Scheme
Banks, Investment Advisors, and Accounting Firms Missed or Ignored Ponzi Scheme “Red Flags”
Lehman Brothers Investors Still Have Time to Pursue FINRA Claims
Lehman Brothers Structured Note Investors Should Take Action
Regions Bank Sued for Participating or Aiding in the Sale of Securities by an Unregistered Dealer
El Regions Bank Ha Sido Demandado por Participar e Incitar a la Venta de Valores por un Agente no Registrado
Lehman Brothers’ Bankruptcy Plan Would Leave Investors with Enormous Losses
Neuberger Berman Ordered to Pay More than $5 Million for Lehman Losses
FINRA Arbitration Panel Slams UBS for Lehman Note Sales
UBS Fined for Misleading Investors about Lehman Brothers 100% Principal-Protection Notes
FINRA Orders UBS to Pay for Lehman Investment Losses

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