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Recent Posts in SEC News Category

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Fraudsters use a wide array of tactics in their hunt for a new mark, and the Securities and Exchange Commission (SEC) recently started cracking down on a new method, posting deceptive articles on ... Continue reading "Protect Yourself from Investment Research Stock Scams" »
Special Agent in Charge of the FBI’s Cleveland Office Stephen D. Anthony and United States Attorney for the Northern District of Ohio Carole S. Rendon announced that eight people were sentenced ... Continue reading "Eight People Sentenced to Prison and Ordered to Pay Nearly $130 Million in Restitution" »
Citigroup Global Markets and Morgan Stanley Smith Barney agreed to pay over $2.96 million each in order to settle charges filed against them by the United States Securities and Exchange Commission ... Continue reading "SEC Charges Citigroup and Morgan Stanley nearly $6 Million for Misleading Investors" »
The Broker-Dealer Task Force and Office of Investor Education and Advocacy (OIEA) of the United States Securities and Exchange Commission (SEC) issued a joint Investor Alert on Monday, January 9 to ... Continue reading "How to Identify and Protect Yourself from Excessive Trading" »
On December, 20, 2016, the SEC’s Office of Investor Education and Advocacy issued a bulletin explaining the process involved when a customer of a brokerage firm has a dispute with the firm. The ... Continue reading "The SEC Just Released an Investor Bulletin Explaining the FINRA Arbitration Processes Involved in a Dispute with Your Stockbroker" »
Meyer Wilson Representing Investors in Claims Against TD Ameritrade Relating to Sales of Investments in Aequitas Management and Related Entities If you are a current or former customer of TD ... Continue reading "Investigating Claims Against TD Ameritrade, Aequitas Management" »
Meyer Wilson’s securities fraud attorneys have been investigating claims against Andrew W.W. Caspersen (CRD# 6149640), formerly a broker at Park Hill Group LLC since April. We previously ... Continue reading "Andrew Caspersen Pleads Guilty to Defrauding Investors" »
UBS Financial Services has agreed to pay over $15 million, following an investigation by the United Sates Securities and Exchange Commission (SEC), in order to settle charges of failing to properly ... Continue reading "UBS Charged With Supervisory Failures by the SEC" »

SEC and FINRA Fine Merrill Lynch

Last month, when the Securities and Exchange Commission (SEC) fined Merrill Lynch $415 million, the firm was also fined $5 million by the Financial Industry Regulatory Authority (FINRA) for negligent ... Continue reading "SEC and FINRA Fine Merrill Lynch" »
In our blog from July 2015, we detailed the allegations made against former Aegis Capital Corp. and Cumberland Brokerage Corporation broker Malcolm Segal (CRD# 1723563). Now, almost one year later, ... Continue reading "Former Broker Malcolm Segal Sentenced to 10 and a Half Years" »
In an announcement on June 23, the Securities and Exchange Commission (SEC) has agreed to settle charges with Merrill Lynch. The SEC alleges that Merrill Lynch misused customer cash in order to ... Continue reading "Merrill Lynch to Pay $415 Million to Settle Charges of Misusing Customer Funds" »
Three months ago, we posted a blog about former GL Capital Partners CEO Daniel Thibeault pleading guilty to fraud charges. Now, the Securities and Exchange Commission (SEC) has accepted an Offer of ... Continue reading "SEC Issues Order Against Former GL Capital Partners CEO Daniel Thibeault" »
On May 17, 2016, the Securities and Exchange Commission announced that a former company insider would be awarded between $5 and $6 million for detailed tips regarding securities violations that the ... Continue reading "Whistleblower Receives Over $5 Million in SEC Award" »
The Securities and Exchange Commission has accused Pittsburgh-based financial adviser Louis Martin Blazer III, 45, of defrauding professional athletes by allegedly stealing money to invest in various ... Continue reading "Pittsburgh Financial Adviser Accused of Defrauding Pro Athletes" »
In January of 2015, we reported on our blog that former investment adviser Gregory Lunar Merrick (CRD# 2933448) was issued a cease and desist order from the Ohio Division of Securities. According to a ... Continue reading "Gregory Lunar Merrick Submits Offer of Settlement" »
In October of 2015, our team posted a blog regarding Michael Donnelly, former president of Coastal Investment Advisors Inc., and his agreement to settle charges with the Securities and Exchange ... Continue reading "Former Head of Coastal Investment Advisors Michael Donnelly Sentenced to Prison" »
Navistar International Corp. has been charged by the Securities and Exchange Commission on allegations that the company misled investors regarding the development of an advanced technology engine. ... Continue reading "SEC Claim: Navistar International & Former CEO Misled Investors" »
According to the Securities and Exchange Commission, two brothers have been charged after allegations of a Ponzi scheme. The accusations claim losses of $2.7 million from unsophisticated elderly ... Continue reading "Brothers Charged by SEC in Ponzi Scheme Allegations" »
On Monday, the Securities and Exchange Commission charged a New York stockbroker with defrauding two institutional investors. According to the allegations, Andrew W.W. Caspersen, who is registered ... Continue reading "SEC Charges Securities Professional with Defrauding Investors" »
A Financial Industry Regulatory Authority rule encouraging investors to ask what incentives their brokers received to change firms has been approved by the Securities and Exchange Commission. As per ... Continue reading "FINRA Broker-Compensation Rule Approved by SEC" »

Affiliates of AIG Charged by SEC

Three affiliates of AIG were charged by the Securities and Exchange Commission for allegedly recommending mutual fund clients to invest in more expensive share classes. This allowed the firms to ... Continue reading "Affiliates of AIG Charged by SEC" »
The Securities and Exchange Commission has announced that former GL Capital Partners CEO Daniel Thibeault has pleaded guilty to charges of allegedly defrauding investors of roughly $15 million. ... Continue reading "Former GL Capital Partners CEO Daniel Thibeault Pleads Guilty to Fraud" »
In a federal district court in Oregon, the Securities and Exchange Commission charged Aequitas Management LLC and its three top executives with allegedly defrauding investors. According to the ... Continue reading "Investment Group & Executives in Oregon Charged by SEC" »
The Securities and Exchange Commission has charged Wells Fargo Securities and Rhode Island Economic Development Corporation (RIEDC; now Rhode Island Commerce Corporation) for fraud. They allegedly ... Continue reading "Rhode Island Quasi-Public Agency and Wells Fargo Charged with Fraud by SEC" »
The Securities and Exchange Commission has issued an alert to investors warning of potential scams such as government impersonators. There are times when investors believe they may have been contacted ... Continue reading "Investor Alert: Be Aware of Government Impersonators" »
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