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- Common Investment Misconduct Claims
- FINRA Fines for ETFs
- Insurance Agents Warned As Jail Time Results from Annuity Case Over Indexed Annuities Sold to Elderly
- FINRA Says Private Placements and Non-Traded Real Estate Investment Trusts Are Top Focus
- SEC Proposes to Improve Regulation and Disclosure of Mutual Funds' "Ongoing Sales Charges"
- Goldman Sachs & Other Banks Could Face a New Era of Litigation
- Investment Fraud
- College Students Vulnerable to Online Investment Scams
- Investment Fraud Attorney Explains Easy Way to Gauge Your Risk Level
- Ponzi Scheme in Florida? A Meyer Wilson Investment Fraud Lawyer Takes a Look
- Ohio Pension Plan Among Plaintiffs in Investment Fraud Case Against BP
- Crowdfunding and Online Stock Markets for Startups Opens Door for Investment Fraud
- Texas Tech Coach Accused of Investment Fraud Related to Hedge Fund
- Hacked Email Accounts Could Lead to Unauthorized Online Trades
- Man Receives 18 Years in "Largest" Washington Ponzi Scheme
- SEC Warns Investors of Social Media Schemes such as Twitter, Facebook & LinkedIn
- Bank Owes Financial Fraud Victims after Rothstein Ponzi Scheme
- Connecticut Man Pleads Guilty to 1 point 9 Million Dollar Investment Fraud Scheme
- Retired NBA All-Star Loses Nearly $86M in Alleged Investment Fraud
- North Idaho Man Allegedly Scammed Church Members in Ponzi Scheme
- Grand Jury Indicts Gilbert Resident for Alleged Investment Scheme
- LinkedIn Scam Spurs Warning to Investors About Social Media Investment Fraud
- Alleged Belleville Fraudster Sentenced to 20 Years after Ponzi Scheme
- Ponzi Scheme Sentencing Delayed after Accused Asks for Mercy
- President Obama Addresses Securities Fraud and Penalties
- Multiple Issues for Investors in Mini-Madoff Ponzi Scheme
- Former Florida Man Sentenced for $30 Million Ponzi Scheme
- Seniors Increasingly Targets of Illinois Investment Fraud
- Texas Father and Son Plead Guilty in Investment Fraud Case
- Hedge Fund Fraud Was "Brazen Web of Lies"
- Seminars and Sermons Held at Atlanta Church Allegedly Investment Fraud
- Alleged Hurricane Katrina Investment Fraud Scam Dupes Montana Investors
- Massive Investment Fraud Targets Amish Community
- Delaware AG Warns of Investment Scams through Social Media
- Massive Investment Fraud Targets African-American Investors
- Portland Gold and Silver Investment Scheme Results in Fraud Charges
- California Investment Fraud Involved Elder Abuse Charges
- Georgia Investment Fraud Traps Investors, Warns Secretary of State
- A&O Entities Sentenced to Prison for $100 Million Fraud Scheme
- Real Estate Group Allegedly Stole, Forged, and Embezzled Investors' Money.
- Rhode Island Man Convicted in Providence Investment Scam
- Tropical Paradise Becomes Nightmare for Victims of $8 Million Maui Ponzi Scheme
- California Investment Scam Results in Securities Fraud Charges and Prison Time
- Securities Fraud Case Is Second Accusation for Former Fraudster
- Federal Prison Sentence for Man Involved in Chicago Investment Fraud
- JP Morgan Pays $153.6 Million after Accusations of Securities Fraud
- Two Florida Men Indicted for Ohio Ponzi Scheme that Devastated Investors
- Convicted Fraudster Pleads Guilty to Yet Another Investment Scam
- How Are Unlisted REITs like Apple REIT 10 Potentially Unsuitable for Me?
- Apple REIT 10 & Other REITs: What are the Risks?
- FINRA Pursues Claim Against David Lerner Associates
- Details Emerge Regarding FINRA Lawsuit Against David Lerner
- Apple REIT Ten: Center of FINRA Complaint With David Lerner Associates
- David Lerner Associates In Trouble For Securities Law Violations Before
- FINRA Warns of Investment Scams in the Wake of the Japan Tragedy
- Detroit-Area Man Charged in Investment Scam
- Securities Fraud
- Avoiding Securities Fraud: What a CRD Number Tells You
- Avoiding Ponzi Schemes: California Investment Fraud Lawyer Reports
- Men Charged with Securities Fraud in Stock Loan Fraud Scheme based in California Georgia Florida
- Two Indicted in Alleged $75 Million Napa Ponzi Scheme
- Fugitive in California Investment Scam Sentenced After Guilty Plea
- Common Types of South Florida Securities Fraud to Watch Out For
- Indictment in Alleged $4 Million Ponzi Scheme Affecting 25 Investors
- Federal Grand Jury Indicts Man in Alleged $3 Million Ponzi Scheme
- Elderly Victim Speaks Out after Alleged Ponzi Scheme
- SEC Charges Florida-based Imperiali and Officers with Securities Fraud
- Man Found Guilty in High-Profile Investment Fraud
- Warning to Senior Investors: Be Aware of Utah Ponzi Schemes
- Alleged Securities Fraud May Have Led to Bankruptcy and Investor Loss
- Alleged New York Securities Fraud Takes $4.8 Million
- Man in Alleged NC Securities Fraud Caught Holding Estate Sales after Asset Freeze
- Folsom Man Sentenced for Alleged Ponzi Scheme
- Laguna Niguel Man Sentenced after Affinity Fraud and Ponzi Scheme
- Securities Fraud Could Impact Schools; Asked to Return Stocks
- San Francisco Investment Scam Takes $7 Million from Family, Friends, and Girlfriend
- Gainesville Man Pleads Guilty in Florida Ponzi Scheme Case
- “Bad Boy of Wall Street” Accused of $140 Million Investment Fraud
- San Diego Ponzi Scam Results in 30-Year Prison Sentence
- Brother and Sister Face Charges in Alleged Real Estate Ponzi Scheme
- Michigan Investment Advisor Loses License; Accused of Investment Scam
- Branchburg Woman’s Alleged Investment Scam Bilks 50 out of $7 Million
- Investors Claim Millions Lost in Ponzi Scheme
- Three Florida Men Indicted in $3.7 Billion Ponzi Scheme
- Two Sacramento-Area Men Arrested in Separate Ponzi Schemes
- Framingham Man Pleads Guilty in Multi-Million Ponzi Scheme
- Lakewood Man Indicted for Securities Fraud
- Connecticut Hedge Fund Manager Pleads Guilty in Massive Ponzi Scheme
- SEC Charges Hedge Fund Manager in Investment Fraud Case
- Common Investment Abuses
- CDs Not As Safe As Many Investors Believe
- Regulators Warn Investors Against Structured Notes
- FINRA Cautions Against Stock-Based Loan Programs
- FINRA Chief Tells Wall Street: Don’t Skimp on Compliance
- Five Tips to Help You Avoid Investment Fraud
- Been Scammed? Your Human Nature May Be Partially to Blame
- BrightScope Publishes Financial Adviser Disciplinary Actions on New Website
- Twin Cities Man Indicted in $20 Million Securities Fraud Case
- FBI: Main White Collar Crime in Montana is Securities Fraud
- Stay Away from Promissory Notes
- Investors Warned Against Structured Products
- What Investors Should Know About Preferred Stocks
- How to Avoid Being Conned by a Fake Investment Adviser
- Ponzi’s Biographer Shares Tips on How to Avoid Ponzi Schemes
- If You Want to Avoid Investment Fraud, Watch Out for These Red Flags
- Money Magazine Calls Index Annuities a Safety Trap
- Investors Warned to Weigh the Risks of Peer-to-Peer Loans Before Investing
- New York's "Blue Sky" Law Offers No Immunity to Madoff Feeder Funds, Says Judge
- Religious Broadcaster Charged in Investment Scam
- Philadelphia Mortgage Scheme Leads to 4 Indictments
- Investment Scam Leaves New Jersey Woman Broke
- Investment Fraud Leads to Guilty Plea by St. Louis Man
- Illinois Man Accused of Operating $12 Million Ponzi Scheme
- “CHiPs” are Down for Larry Wilcox Who’s Accused of Securities Fraud
- Investors Seeking Safe Income from Bonds Lose Out on Structured Notes
- Tricks of the Trade: Outsmarting Investment Fraud Now Airing Nationwide
- Alleged Stockbroker Fraud Results in Lawsuit
- Real Estate Investment Scheme Leads to Arrest
- As Concerns for the Environment Grow, Beware of "Green" Investment Schemes
- Owner of PA Firm Admits to Swindling Investors Out of More Than $20 Million in Ponzi Scheme
- Credit Union Employee Linked to Embezzlement Scheme
- Real Estate Investment Scheme Costs Investors $1.6 Million
- Florida Mortgage Brokers and Attorneys Indicted for Investment Fraud
- Beware of Oil Spill Stock Scams
- How to Identify China Stock Scams
- "Pump and Dump" Investment Scams Tied to BP Oil Spill
- Life Settlement Securities Scam
- Alternative Energy Scams
- Watch Out For Gold Scams
- Homeowners Persuaded to Lend Their Home Equity
- Federal Prosecutors Stepping up Enforcement on Securities Fraud
- Regulators Continue to Crack Down on Broker-Dealers Who Offered Private Placements
- Elder Abuse
- SEC Shuts Down California Man and Alleges Day Trading Scheme Targeted Seniors
- Hidden Fees Make Equity-Indexed Annuities Bad Investment for Seniors
- Sassman sentenced to 18 Years in Prison, $4.5 Million in Restitution
- Illinois Investment Advisor Barred From Industry For Stealing From Clients
- FINRA Arbitration Panel Hammers Discount Broker with Treble Damages in Elder Abuse Award
- Stockbroker Misconduct
- Story Serves as Cautionary Tale Against Nontraded REITs
- FINRA Launches a New Public-Access Disciplinary Actions Database
- SEC Accuses Koch Asset Management and Founder Donald Koch of Investment Fraud
- Investors File Claim Against Brokerage Principal for $4.1 Million in Losses
- Mass. Financial Adviser Pleads Guilty to Stealing $3 Million
- St. Louis Woman Pleads Guilty to $6 Million Investment Scheme
- FINRA Disciplinary Actions Up in 2010
- Lincoln Financial Fined by FINRA for Former Broker's "Selling Away" Scheme
- Michigan Advisor Accused of Defrauding School System and Township in Ponzi Scheme
- Fort Wayne Broker Charged with 7 Counts of Securities Fraud
- Former PrimeVest Representative Ordered to Pay $1.1 Million in Restitution
- SEC Bars Texas Broker in $850,000 Promissory Note Scheme
- What You Need to Know About Excessive Trading Activity Claims
- Barred Broker and Current Ohio Township Trustee Sued by Baird
- FINRA Bars Head Trader and Chief Compliance Officer
- How to Avoid Financial Loss from Unauthorized Trading
- Be Wary of High-Pressure Sales Calls from Brokers
- Unsuitable Trades Can Lead to Financial Loss
- FINRA Fines, Suspends Broker for Failure to Supervise
- Securites Arbitration
- FINRA Panel Rules Against Raymond James - Issues $1.5 Million Award to Investors
- FINRA Awards Investors $54 Million in Citigroup MAT/ASTA Case
- SEC Approves Controversial FINRA Revisions to Securities Arbitration Discovery Guide
- Summary Shows Investors Continue to Prevail in FINRA Arbitration Decisions
- Morgan Keegan Ordered to Pay Punitive Damages in Madoff Feeder Fund Case
- FINRA Orders Citigroup to Pay $6.4 Million to Investors for Losses in Municipal Arbitrage Fund
- FINRA Awards Investors $1.6 Million in Claim Related to DBSI-Packaged TICs
- Texas Couple Wins Arbitration Award From Raymond James & Associates
- FINRA Decides to Extend Pilot Arbitration Program into 2011
- FINRA Proposes Eliminating “Inability-to-Pay” Defense
- FINRA Proposed Rule Change Would Expand Arbitrator Selection Lists
- FINRA Considering Change to Arbitration Panel Composition
- Brokerage Firms
- Raymond James Agrees to Buy Back $300M Worth of Auction-Rate Securities
- Morgan Stanley Smith Barney Allows Brokers to Use Twitter, LinkedIn
- FINRA Suspends Pinnacle Partners and its President Over Alleged "Boiler Room"
- FINRA Continues Reg D Crackdown
- LPL Financial Corp. Fined $220K in March
- FINRA Fines Southwest Securities for Second Time This Month
- FINRA Announces Focus on Municipal Bond Dealers
- FINRA May Pursue Action Against E*Trade Over Auction-Rate Securities
- National Securities Is Latest Broker-Dealer to Be Disciplined in FINRA’s Crackdown
- Merrill Settles with SEC for $10 Million
- FINRA Seeks Order Against Oil and Gas "Boiler Room" in San Antonio
- HSBC Fined $375,000 for Unsuitable Sale of CMOs
- Financial Industry Regulatory Authority Fines Morgan Stanley $800K
- FINRA Orders SunTrust to Pay $1.44 Million
- FINRA Issues Compliance Guidelines Regarding Use of Blogs and Social Networking Websites
- FINRA Proposes Expanding Registration to Include Broker-Dealers' “Back Office” Staff
- Securities America Requests Broker-Dealers Be Subpoenaed in Legal Battle Involving Medical Capital Private Placements
- Investor Claims Involving "100 Percent Principal Protected Notes" Soar
- Prosecutors Begin Investigation into Morgan Stanley’s “Dead Presidents” Deal
- Small, Independent Broker-Dealers Facing Tough Times
- Five Broker-Dealers Fined by FINRA
- FINRA Issues Regulatory Notice Aimed at Private Placements
- FINRA Expels Broker-Dealer Over Private Placements
- Dodd Calls For Investigation of Lehman Brothers
- Ponzi Schemes
- Dallas Businessman Sentenced to Prison Over Oil and Gas Ponzi Scheme
- Former Dearborn Man Arrested on Charges of Investor Fraud
- Futures Broker, Currency Dealer Sued for Facilitating Cook Ponzi Scheme
- Operation Broken Trust Leads to 52-Month Sentence for Michigan Woman in One Million dollar Ponzi Scheme Case
- Illinois Man Sentenced to More Than 5 Years in Prison for $9 Million Dollar Ponzi Scheme
- Arraignment Scheduled in California PTA Moms’ Alleged Ponzi Scheme Case
- Operators of Michael Franks LLC Charged with Running $16 Million Ponzi Scheme
- Edward May Pleads Guilty to $35 Million Ponzi Scheme
- Ponzi Schemer Arthur Nadel to be Profiled Tonight on CNBC’s “American Greed”
- SEC Charges AIC and President/CEO Skaltsounis with Multi-Million Dollar Offering Fraud and Ponzi-Scheme
- Utah Businessman Sentenced in $180 Million Ponzi Scheme: State’s Largest Financial Fraud Case Ever
- Des Plaines Man Pleads Guilty to Defrauding Muslim Community in $40 Million Ponzi Scheme
- Missouri Man Pleads Guilty to $2.2 Million Ponzi Scheme
- Fox Lake Man Gets 4.5 Years for Ponzi Scheme
- More Charged in Twin Cities $194 Million Ponzi Scheme
- Florida Resident Sentenced for Purported $10 Million Ponzi Scheme
- TD Bank Purportedly Utilized in Rothstein Ponzi Scheme
- Tucson Resident Charged with Ponzi Scheme, Fraud Allegations
- Alleged Panama City Ponzi Scheme Promised 12 Percent Returns
- Chicago-Area Man Charged with Running $105 Million Ponzi Scheme
- Ringleader of Alleged Ponzi Scheme Charged with 4,000 Counts of Fraud
- Alleged Propagator of 20 Year NY Ponzi Scheme Sentenced
- Alleged Mastermind Behind Mona Shores Public School Ponzi Scheme Arrested
- Winans Alleged Ponzi Scheme Swindled Millions from Churchgoers
- Fugitive Couple Arrested for Ponzi Scheme
- Financial Planner Admits to $2.3 Million Ponzi Scheme
- Securities Fraud Leads to Guilty Plea from Former Pastor
- Brooklyn Man Accused of Securities Fraud
- California Financial Advisor Accused of Running a Ponzi Scheme
- Life’s Good Inc. Owner Accused of Ponzi Scheme
- Ponzi Scheme and Bankruptcy Fraud Leads to Arrest of Mercer Island Man
- San Luis Obispo Man Pleads “No Contest” in $2 Million Investment Scam
- Montana Man Pleads Guilty to Multi-State Gold and Platinum Investment Scheme
- Two Defendants Convicted in Multi-Million-Dollar Investment Scheme
- Investment Scam Could Be New Hampshire’s Biggest Ponzi Scheme
- Man Admits Guilt in Ponzi Scheme Worth $100 Million
- Florida Business Man Admits to Investor Fraud Involving $880 Million
- FBI Investigates Investment Broker at School
- The Enrique F. Villalba, Jr. Case: Follow the Timeline
- Victims of Enrique Villalba Jr.’s Investment Scheme May Be Able to Recover Losses
- Twin Cities Investor Gets 25 Years for Ponzi Scheme
- Ponzi Scheme Results in Guilty Plea from Hedge Fund Manager
- High Yield Investment Programs (HYIPs): Ponzi Schemes in the Internet Age
- VI Money Manager Accused of Investment Fraud in Ponzi Scheme
- Former South Florida Lawyer Sentenced to 50 Years for $1.2B Ponzi Scheme
- Bank of New York Mellon Subsidiary, Ivy Asset Management, Sued for Madoff-Related Fraud
- Southern California Man Allegedly Involved in $62 Million Ponzi Scheme
- HighTower Advisors Linked to $1.4 Billion Ponzi Scheme
- Ohio-Based Investment Adviser Charged in Alleged $39 million Ponzi Scheme
- SEC News
- Warnings Keep Pouring In On Risks of Structured Products
- SEC Probes Big Banks’ Forex Trading Activities
- SEC Proposes Rule to Ban Felons and "Bad Actors" from Private Placement Offerings
- SEC Votes to Adopt New Whistle-Blower Program
- SEC Says: More Money Needed to Fight Investment Fraud
- LA Times: Hedge-Fund Manager Raj Rajaratnam Should Be a Warning to Wall Street
- Life Partners Faces Potential SEC Action in Sale of Life Settlements
- SEC Says 12(b)-1 Fees Not Forgotten as Revision Gets Pushed Back Once Again
- SEC Seeks Public Comments on the Effectiveness of Investor Education Programs
- Citigroup Under Investigation by SEC for Activities Related to Financial Crisis
- SEC Adopts New Disclosure and Review Requirements for Asset-Backed Securities
- Investor Concerns Grow Over State and Local Government Finances
- SEC Recommends "Universal Fiduciary Duty"
- CGA Embroiled in SEC Inquiry, Alleged Financial Fraud
- Financial Fraud on the Rise, Says SEC
- Critics of the SEC's Whistleblower Program May Be Blowing Hot Air
- SEC Proposes Enhanced Disclosures to Protect Investors in Asset-Backed Securities
- SIPC Considers Overhaul to Rules to Protect Individual Investors
- Former CEO of MCSi, Inc. Pleads Guilty to Securities Fraud
- FINRA Proposes to Prohibit Non-Regulated Custodians
- The Hard to Understand "12b-1" Fees May be Overhauled
- SEC Attempts to Address Problems with Target-Date Mutual Funds
- Investment Advisers’ Disciplinary Records Now Available Online
- SEC Files Complaint to Halt $300 Million Ponzi Scheme Involving Supposed Gold Mining Investments
- Settlement Talks Heat Up Between SEC and Goldman Sachs
- FINRA Proposes Expansion of Information Publicly Available Through BrokerCheck
- Regulators Slam Morgan Keegan Over Bond Funds
- SEC Announces Additional Recovery for Stanford Ponzi Scheme Victims
- Investor Legislation
- Want Great Returns? Win a Seat in Congress.
- Congress Works to Prevent Elder Financial Fraud
- Is Your Adviser a “Registered Investment Adviser” or a “Broker-Dealer”? (The Answer Matters)
- SEC Makes Recommendations on How to Improve Advisor Oversight
- Agreement Reached to Reconcile Financial Reform Bill
- Senate Passes Financial Reform Bill
- Proposed Bill Would Include Criminal Penalties for Broker-Dealers Who Violate Fiduciary Standards
- Wall Street Reform Legislation May Include Aiding and Abetting Liability Provision
- Could Wall Street Reform Spell End of Mandatory Pre-Dispute Arbitration Clauses in Securities Disputes?
- Specter Bill Awaits Mark-up
- General
- What FINRA Might Not Tell About Your Investment Advisor
- Investing in Stocks May Be Riskier Than You Think
- FINRA Investigates Whether Investors Understand Derivative-Linked CDs
- Five Investor Protection Tips To Avoid Investment Fraud
- Attn Retirees: Are you withdrawing more than 3 percent of your income each year? If so, watch out!
- SEC Charges Life Partners Holdings with Life Settlements Investment Scheme
- Mormon Church Leader Allegedly Used Leadership Position to Perpetrate $16M Ponzi Scheme, Says SEC
- Former Utah Scoutmaster Sentenced to 10 Years in Prison for $145M Ponzi Scheme
- Utah "Venture Capitalist" Accused of Serial Securities Fraud
- SEC Adopts New Net Worth Standard for Accredited Investors
- AARP Warns Seniors: That "Free Lunch" Could be Costliest Yet
- Framingham Man Receives More Than 8 Years in Prison for 20-Year Ponzi Scheme
- FINRA Orders $19M in Restitution to Defrauded Investors in 2011
- Co-Founder of Global One Sentenced to 25 Years for Investment Fraud
- Wells Fargo Fined $2M for Unsuitable Sale of Reverse Convertibles to Elderly
- Massachusetts Secretary Charges Three Investment Advisers with Varying Flavors of Investment Fraud
- ‘Tis The Season … For Scams Against Seniors
- Man Charged in Latest Detroit Ponzi Scheme Case
- CEO of Samex Capital Agrees to Plead Guilty in Alleged Ponzi Scheme Case
- Want to Avoid Investment Fraud? Spend Time Choosing Your Adviser
- Fake Hedge Fund Managers Charged with Fraud in Alleged $3.5M Foreign Currency Ponzi Scheme
- Investor Alert: Beware of Fake Securities Regulator Scams
- Boston-Area Man Indicted In Alleged Hedge Fund Investment Scheme
- Florida Ponzi Schemer Sentenced to Nearly 20 Years in Prison for $21M Fraud
- SEC Gearing up for Investment Fraud "Enforcement Wave"
- NY CPA and Business Owner Sentenced to 5 Years for Gas-Pipeline Investment Scheme
- Nationwide Surge in Investment Fraud Against Baby Boomers Continues
- FINRA Slams Broker-Dealers On Private Placements, Again
- Previously Convicted Knoxville Fraudster Heads Back to Prison for Second Investment Scheme
- 2010 Investment Fraud Enforcement Actions Up 51 Percent, Says NASAA
- Seniors Targeted in Alleged Arizona Real Estate Investment Fraud
- 5 Red Flags of Investment Fraud
- SEC Charges Western Pacific Capital Management and Its President with Investment Fraud
- Former Visions Securities Stock Broker Charged with Fraud
- Popular BDCs Attract Regulator Scrutiny
- Minnesota Hedge Fund Managers Charged with Facilitating $3.65B Petters Ponzi Scheme
- FINRA Warns B-Ds to Be Careful About Claiming Senior Designations
- Broker-Dealer FTN Financial Securities Corp. Charged with Aiding Sentinel in Fraud
- Investor Alert: Watch Out for Chinese Precious Metal, Gold, Silver Scams
- Morgan Stanley to Pay $1,371,000 in Fines and Restitution for Excessive Markups and Markdowns
- New Defendant Added in Indictment Alleging $105 Million Ponzi Scheme
- Chase Ordered to Reimburse Customers $1.9M for Unsuitable Recommendations
- Investor Alert: That ETF May Not Be What It Seems
- Citigroup Agrees to Pay $285M to Settle SEC Charges
- Farmington Hills Investment Adviser Gets 8 Years in Prison for Defrauding Elderly Investors
- How to Choose a New Wealth Manager
- Former Owners of Bowman Investment Group Indicted on 28 Counts
- Texas A&M Faces $4.4M Lawsuit Stemming from Alleged $8B Investment Fraud
- Ex-FBI-Agent-Turned-Financial-Advisor and Wife Charged with $1.3M Investment Fraud
- 5 Tips to Fight Investment Fraud During the Economic Downturn
- ETF Investors Face Serious Risk
- Montana Commissioner Releases New Documentary on Investment Fraud
- Increased Flexibility Means Added Risk for IRAs
- Be on the Lookout for Los Angeles Investment Scams
- Non-Traded REITs Too Risky for Most Investors, Says FINRA
- Man Receives 16 Years for Orchestrating Largest Ponzi Scheme in Michigan History
- Father and Son Sentenced in $930M Ponzi Scheme
- Fort Collins Real Estate Investment Scam Targets Church and AA Members
- Who's Most At Risk For Investment Fraud? The Answer May Surprise You.
- SEC Charges Solicitor in Investment Scheme Targeting Deaf Community
- Two Men Admit to Two Separate Ponzi Schemes on Same Day in Charlotte Court
- 4 Smart Tips for Spotting Retirement Scams
- Clinton Township Man Pleads Guilty to $40M Investment Scam
- FINRA Considering Rule Proposal to Shorten Valuation Time Frame for Nontraded REITs
- Five Tips to Help Scam-Proof Your Portfolio
- Former UBS Adviser Sentenced to More Than 5 Years in Prison for $5.4M Fraud
- NASAA Warns Investors to Watch Out for Online Investment Scams on Social Network Sites
- Desperate Floridians Easy Prey for Scammers and Con Artists
- Investors Beware: High Yield Equals High Risk
- Gregory Loles Barred From Securities Industry for Swindling Investors Out of $8.7M
- SEC Obtains Emergency Order Against Purported Life Settlement Co.
- "New Breed" of REITs Remains Flawed Despite Changes in Liquidity and Valuation
- Former CEO of Frontier Holdings Inc Found Guilty in $7.4M Investment Fraud Case
- New Advocate Posed to Heat Up Universal Fiduciary Standard Debate
- FINRA Issues Warning Against Hot Gold Stock Scams and Gold Investment Schemes
- NASAA Releases 2011 Top Investor Traps and Threats
- Recession Causes Rise in Fraud and Rise in Convictions
- Stanford University and FINRA Unite to Fight Fraud
- Iowa Business Owner Permanently Barred from Selling Securities
- Former Nebraska City Brokers Sentenced in $20M Investment Fraud Case
- Philadelphia-Area Business Owner Pleads Guilty to $17M Ponzi Scheme
- Former Triton CEO Found Guilty on 39 Counts for $75M Ponzi Scheme
- Fresno Ponzi Scheme Victims Will Probably Only Receive “Pennies on the Dollar”
- Are Mortgage REITs Too Risky?
- SEC Charges Stifle, Nicolaus & Co and Executive with Defrauding Wisconsin Schools
- Citigroup Fined $500K for Failure to Supervise Sales Assistant
- FINRA's Announces Plan to Allow FINRA Arbitration for Investment Advisers
- Former Wachovia Broker Receives 6.5 Year Sentence for $8.4M Investment Scam
- Plan to Trade that Structured Product? Think again.
- Complaint Filed Against Investment Adviser, Principal, and Affiliates in Salinas Case
- SEC’s New Database Streamlines Tips and Complaints Process to Better Protect Investors
- The Grass Isn’t Always Greener, Warns FINRA, Stop ‘Chasing Return.’
- Illinois State's Jankovich and Other Coaches Conned in Salinas' Investment Fraud
- Connecticut Man Pleads Guilty to Securities Fraud in $10 Million Investment Scheme
- Christian Radio Host Pat Kiley Indicted on Charges of Investment Fraud
- Pressman Pleads Guilty to $6 Million Ponzi Scheme in Pennsylvania
- Richmond Man Gets 8 Years for Ponzi Scheme
- Top Ten Warning Signs of Investment Fraud
- West Virginia Investment Fraud on the Rise
- Former Football Player Pleads No Contest to Nebraska Securities Fraud
- Fort Lauderdale Man Allegedly Involved in $800 Million in Florida Ponzi Scheme
- “Billionaire Boys Club” Member Arrested for MI Ponzi Scheme after Fleeing to Italy
- Name Change Can’t Fix Facts: Equity Indexed Annuities Still a Bad Idea
- Supposedly Simple ETFs Not So Simple to Understand
- The CFTC Accuses South Carolina Pastor of Running Ponzi Scheme
- SEC Warns BP Payout Recipients to Watch Out for Investment Fraud
- What the Financial Reform Bill's Whistleblower Program Means for You
- Indiana Investment Watch Launches Investor Protection Campaign
- Equity-Indexed Annuities Aren't Worth the Hype
- Investment Scams Involving Gold Rise With Increased Price
- Pennsylvania Regulators Allege TD Ameritrade Misrepresented Its Reserve Yield Plus Fund to Investors
- State of Ohio Teams Up With New York in Securities Fraud Lawsuit Against BP
- FINRA Releases Its Year in Review for 2009
- It Starts With the Right Investment Specialist
- NY Daily News Explains Warning Signs of an Investment Fraud Scam
- First Investor Win Against Broker-Dealer for Medical Capital Notes Reported
- Investor Squares Off Against Merrill Lynch Over “Investor Sophistication”
- Brokers Questioned for Pushing Inland Western Non-listed REITs.
- FINRA Fines Piper Jaffray and Co. $700,000
Practice Areas
- Common Investment Misconduct Claims
- Investment Fraud
- Securities Fraud
- Stockbroker Arbitration
- Stockbroker Mediation
News
- Alaska Woman Pleads Guilty to Securities Fraud Charges
- NutraCea CEO Faces Securities Fraud Charges in Arizona
- South Carolina Man Charged in Alleged Silver Investment Scam
- Father/Son Attorneys Team Up to Speak at 54th West Virginia Association for Justice Convention
- SEC Charges Florida Man with Affinity Fraud Scheme
- Atlanta Man Sentenced in Securities Fraud Case Affecting 200 Investors
- Former Professional Basketball Player Indicted in Ponzi Scheme
- Investment Fraud Attorneys Team with Alzheimer's Association
- Ohio Man Indicted in Alleged $40 Million Black Diamond Ponzi Scheme
- Woman Accused of $3 Million Investment and Securities Fraud
- FINRA Arbitration Panel Awards Couple Almost $1.4 Million
- Ex-NBA Player and CEO C. Tate George Charged in Real Estate Ponzi Scheme
- Indiana Man Sentenced for Investment Fraud, Securities Fraud
- Glen Arm Man Indicted for $14 Million Maryland Investment Scam
- Vermont Man Pleads Guilty in Movie Investment Fraud Case Wire Fraud
- Orlando Man Terry Scott Hyder Gets Prison for Defrauding Elderly Out of Savings in NC FL
- Fake Investment Advisor Telson Okhio Pleads Guilty to Stealing One Million in Investment Fraud Scheme
- Recidivist Con Artist Gets Prison for Affinity Fraud Ponzi Scheme
- Serial Fraudster James Rivera for Green Energy Investment Scam Defrauding Investors
- Restitution Hearing Scheduled for Alleged Mobile Home Investment Scam
- SEC Charges Las Vegas Prime Star Group in Penny Stock Pump and Dump Investment Scheme
- Rhode Island Ponzi Scheme Case Leads to Plea Agreement
- Swansea Woman Sentenced after Allegedly Bilking Elderly Investors
- Maximum Sentence for Dallas Man in Alleged $7 Million Investment Scam
- Two Sentenced in Alleged Ponzi Scheme after Guilty Pleas
- Pet Return Service Allegedly an Investment Scam
- Promissory Note Fraud Results in Felony Conviction
- Iowa Man to Back out of Investment Fraud Plea Agreement
- Protecting Your Loved Ones with Dementia from Financial Abuse
- Arizona Man Indicted for Alleged Real Estate Investment Fraud
- Real Estate Ponzi Scheme Garners Federal Criminal Charges
- LDS Church Members Allegedly Targeted in Promissory Note Scam
- San Diego Man Arrested for Alleged Ponzi Scheme
- Florida Fraudster Sentenced in Alleged Ponzi Scheme
- Framingham Man Sentenced to 102 Months for Alleged Ponzi Scheme
- Ten-Year Sentence for Man in Sarasota Ponzi Scheme
- San Diego Investment Firm Faces Securities Fraud Charges
- Maryland Man Faces Ponzi Scheme Charges; Investors Lost Millions
- Arizona Annuities Fraud Targets Seniors
- Restitution to Be Paid in North Carolina Ponzi Scheme
- Man Pleads Guilty in Annuities Ponzi Scheme
- Oregon Man Blames Gambling Addiction for Ponzi Scheme
- Ponzi Scheme Case Ends in 8-Year Prison Sentence
- "Legal Ponzi Scheme" May Have Taken $65 Million from Investors
- Alleged Investment Fraud Used California PTA to Find Investors
- Virginia Investment Club CEO Pleads Guilty to Wire Fraud
- Life Insurance Investment Scam Targets Deaf
- Alleged $110 Million Stock Fraud Nets Pepper Pike Man 21 Years in Prison
- Gold Investment Scam Among Accusations Against CFO
- Florida Securities Fraud Still Going Strong, Officials Say
- Western New York Man Sentenced to 13 Years for Alleged Multimillion Dollar Ponzi Scheme
- Beazer Homes USA Executive to Pay Back Bonuses after Company Misconduct
- Former Officer Implicated by Consultant in Bixby Securities Fraud
- New York Securities Fraud Nets Man a Fine and 5 Years in Prison
- Broker Barred after Pleading Guilty to Securities Fraud
- Staten Island Stock Fraud Perpetrated by Multiple Personalities?
- Ohio Investment Fraud: The Most Popular Scams of 2011
- Attorney David P. Meyer Named one of the "Best Lawyers in America ®"
- Amarillo Woman and Son Awaiting Sentencing for Retiree Investment Scam
- Investors with Raymond James get $300 million
- Three Charged in Alleged Green Energy Investment Fraud
- Man Accused of Making $17 Million in Real Estate Ponzi Scheme
- Man Indicted in Pennsylvania Ponzi Scheme Fails to Mention Previous Convictions
- Kansas Lawyer Convicted for Texas Investment Fraud
- Investment Fraud Company Mimics Legitimate Company to Take $304,000
- Indiana Investment Scams Land Terre Haute Man in Jail
- Ponzi Scheme Victims Still Waiting While SEC and SIPC Argue
- Idaho Ponzi Scheme Shows Dark Side of Man who Preyed on Family and Church Members
- Multimillion-Dollar Ponzi Scheme Targets Seniors and Lifelong Friends
- New Jersey Investment Scheme Results in Big Losses for 62-year-old Delaware Woman
- Missouri Cattle Investment Scheme Milks Investors for $8 Million
- Vodka Investment Scam in Missouri Results in Hefty Fine for Barred Investment Advisor
- Ponzi Scheme Takes $2.4 Million from Investors Nationwide
- Michigan Ponzi Schemer Dante DeMiro Receives 10 Year Sentence for Investment Fraud
- Man Found Guilty of 14 Charges of Securities Fraud & Conspiracy
- Man Sentenced for Arizona Investment Fraud; Accused of California Ponzi Scheme
- Connecticut Ponzi Scheme Results in Ten Year Prison Sentence
- David Lerner Associates Accused of Misleading Vulnerable Investors
- David Lerner Associates’ Apple REIT 8 Also In Trouble
- Man Sentenced to 6.5 Years in Prison after $9.3 Million Ponzi Scheme
- Illinois Man Accused of Investment Fraud Involving War Veterans
- Two Fraudsters Caught in Kentucky Oil Scam after Lavish Party Televised
- Alleged $52.5 Mil Ponzi Scheme Leads to Charges for Webster Groves Man
- Ohio Couple Pleads Guilty to Investment Fraud Charges
- Ponzi Scheme Targets Churchgoers
- Two Charged in Stockbroker Fraud Bust
- UBS Receives Multi-Million Dollar Fine for Omissions in Sale of Structured Notes
- Edina Woman Pleads Guilty in Ponzi Scheme
- New Jersey Ponzi Scheme Involving $880 Million Results in Two Guilty Pleas
- Ponzi Scheme Leads to Suit Filed Against the SEC
- Utah Man Accused in $47 Million Ponzi Scheme
- Ohio Division of Securities February Enforcement Actions
- CEO of Columbus-based NetJets Abruptly Resigns
- Southern Arizona Man Indicted for Investment Fraud
- Morgan Keegan Ordered to Pay Over $250,000 in Madoff Feeder Fund
- Political Fundraiser Indicted in Alleged Ponzi Scheme
- Clayton Man Suspected in $35 Million Ponzi Scheme
- Labor Department Proposes Applying Fiduciary Standard to IRAs
- Ohio Consumer Alert: Tax Season is Prime Time for Investment Scams
- ATM Investment Scam Gets North Carolina Man 8 Years
- Gregory J. Buchholz Faces Sentencing for $1.37 Million in Alleged Financial Fraud
- Lauritsen Sentenced, Ordered to Pay Restitution in Connection with Alleged Financial Fraud in Religious Circle
- Gatta Sentenced for Alleged Jersey Shore Ponzi Scheme
- Reinholdt Found Guilty of Alleged Colorado and Arizona Ponzi
- Largest Alleged Ponzi Scheme Ever Prosecuted in WA Brews in Seattle
- Broker-Dealer QA3 To Close This Week
- FINRA Statistics Show 2010 Was Favorable to Investors with Arbitration Claims
- New Rules Allow All Public Panel Option for FINRA Customer Arbitrations
- Maui Businessman Pleads Guilty to 20-Year Alleged Ponzi Scheme
- Investors in Alleged BBC Equities Ponzi Scam May Not Get Their Money Back
- Attorney Pleads Guilty in Connection with $23 Million Real Estate Scheme
- New Ponzi Scheme Uncovered by Financial Fraud Enforcement Task Force
- Oppenheimer Ordered to Repurchase $650,000 in Auction-Rate Securities
- J.P. Morgan Chase Sued for Petters Ponzi Scheme
- Two Former Wachovia Employees Charged with Securities Fraud
- Irvine Man Charged in $2.4 Million Investment Scam
- Frisco Man Pleads Guilty to $3 Million Ponzi Scheme
- Texas Man Indicted in $17 Million Securities Fraud Case
- Chaska Man Faces Fraud Charges in $8 Million Ponzi Scheme
- Roseville Man Pleads Guilty to Ponzi Scheme
- Texas Man Convicted in $80 Million Ponzi Scheme
- South Carolina Pastor Accused of Multimillion-Dollar Ponzi Scheme
- Sacramento Man Arrested for $11 Million Ponzi Scheme
- Next Financial Group Fined by FINRA for Third Time in Three Years
- Twin Cities Stockbroker Barred From Securities Industry
- Chicago Area Man Accused of Ponzi Scheme
- Prominent Hedge Fund Under Investigation by the SEC and U.S. Attorney
- SEC Freezes Assets of Two Chicago Firms For Fraudulent Activity
- CFTC Gains More Authority in Dodd-Frank Act, Sets Sights on Fraud
- Charges Brought Against Former Stockbroker
- Ponzi Scheme Leads to Suit Filed Against University of Chicago Trustee
- Recent Flood of Multi-Million Dollar Arbitration Awards for Investors
- Retiring CFTC Judge Exposes Colleague as Biased and Corrupt
- Former Indiana Pastor Found Guilty of Defrauding Church Members
- John Elway Among Ponzi Scheme Victims
- Investment Fraud Results in 43 Federal Counts
- Three Bay Area Men Have Been Charged in Fraud Case
- Investment Scheme Involving $30 Million Leads to Indictment of Two
- SEC Bars Financial Advisor over Alleged Ponzi Scheme
- FINRA Proposes Rule Change to Allow Investors the Option of All-Public
- Dallas Man Pleads Guilty in Multi-Million Dollar Investment Scheme
- SEC Trying to Link Colorado Financial Advisor to Ponzi Schemes
- St. Peters Man Charged in Investment Fraud
- Villalba Sentenced to Jail Today; Law Firm Continues Investigation
- David P. Meyer Listed in The Best Lawyers in America (2011)
- Investment Scam Costs Clients Over $5 Million
- Ponzi Scheme Leads to Feds Freezing Atoka Man’s Assets
- What Is Being Done To Protect Senior Investors?
- SEC Reports Investment Scam Took in More than $1M
- Unregulated Structured Notes Could be the Next Investment Bubble
- Florida Race for Attorney General Centers on Protections for Investors
- Investment Fraud Charges Brought Against Investment Manager
- FINRA Extends Public Arbitrator Pilot Program for Another Year
- SEC Approves FINRA Rule Change Expanding Arbitrator Selection Lists
- Wall Street Reform is Finally Here! Obama to Sign Bill Today
- FINRA to Offer More on Information Available Through BrokerCheck
- Investment Fraud in Cleveland: Thomas Pleads Guilty
- Ponzi Scheme Leads to Lawsuit Against New York Firm
- SEC Looks into the Marketing of “Principal-Protected” Notes
- Bill Calls for Study & Gives Authority to Restrict Arbitration
- Former Harvard Quarterback Faces SEC Fraud Charges
- Survey: 1 in 5 Over Age 65 Likely to be Victims of Financial Fraud
- Updated on Investigation: SEC Files Complaint Against Martin Wegener
- Ex-Florida Lawyer Receives 50-Year Prison Sentence for Ponzi Scheme
- Ponzi Scheme Involving $40 Mill Leaves South Florida Man Facing Charge
- Northern Colorado Ponzi Scheme Involves $3.5 Million
- NY Investment Adviser Ken Starr Charged With Fraud
- Joanne Schneider Withdraws Plea on Ohio Securities Fraud Charges
- SEC Files Ohio Lawsuit Naming Former Brokers of World Group Securities
- Insufficient Evidence to Bring Criminal Charges Against AIG Execs
- Woman Admits to Defrauding 400 Investors Out of Millions of Dollars
- Spongetech Executives Charged with Alleged Securities Fraud
- FINRA Focuses on Unsupervised Brokers Selling Fraudulent Securities
- Martin Wegener New England Financial | Michigan Stockbroker Fraud
- Santa Ana Man Faces Prison Following Ponzi Scheme
- MLB Players File Lawsuit Against Investment Group
- Man Sentenced to Prison in Federal Fraud Case
- Former IBM Executive Pleads Guilty to Fraud in Insider Trading Case
- Emails Show Goldman Sachs May Have Tried To Profit From Housing Drop
- Broker-Dealer Accused of Private-Placement Fraud
- Former Finance Chief of Maxim Liable for Securities Fraud
- Ponzi Scheme Alert for Investors
Case Results
- Case Results
- $6,500,000 Recovered for a Large Group of Individual Investors
- $3,100,000 Recovered for 35 Families in Northeast Ohio
- Nine Families in Florida Recover $1,800,000
- Twenty Retirees Recover $3,000,000 in Losses
- $5,000,000 Recovered for Group of Midwest Clients
- Retirees Recover in Excess of $10,000,000 of Retirement Losses
- FINRA Arbitration Panel Awards Family of Elderly Woman 100% of Losses
Document Library
- Investment Fraud
- Investment Fraud Lawyer’s Tips for College Students
- Investment Fraud Attorney Explains the Five W’s of Avoiding Investment Fraud
- Investment Fraud Attorneys Warning: Beware of Low Interest Rates
- Investment Fraud Attorneys Explain How to Avoid a “Pump and Dump” Scam
- Avoiding Investment Fraud: What You Really Should Be Asking Your Financial Advisor
- SEC's New Settlement Language Could Affect Some Investment Fraud Cases
- Common FINRA Arbitration and Investment Fraud Claims
- Don't Be Blindsided by Unauthorized Trades and Investment Fraud
- Stop "Cold Calls" to Protect Yourself from Senior Investment Fraud
- Understanding Variable Annuity Fraud for Seniors
- How Seniors Get Caught Up In Investments That Turn Out to be Fraudulent
- Real-Life Examples of Investment Fraud in Practice
- What's the Problem with Private Placements?
- How to Minimize the Risk of a Ponzi Scheme By Choosing the Right Financial Advisor
- How to Avoid Investment Fraud by Listening for “Red Flags”
- Real Estate Ponzi Schemes – When to Call a Lawyer
- How to Help Mom and Dad Avoid Investment Fraud
- Suspect Financial Fraud? Here’s What to Do
- Real Estate Ponzi Schemes – Warning Signs
- Key Warning Signs of a Dishonest Investment Adviser
- Five Questions You Will Want to Ask an Investment Fraud Attorney
- What Really Constitutes a Suitable Investment?
- Key Warning Signs of Cold Calling Investment Fraud Scams
- Investment Fraud Only Takes One Lie When You’re In Too Deep: A Warning to Investors
- How Do Investment Fraud Lawyers Help Victims of Ponzi Schemes?
- How Does a Ponzi Scheme Work?
- Why Is It so Important for Women to Understand Investment Fraud?
- New York Investment Fraud Targets Internet Users
- Taking Advantage of a “Senior Moment”, Florida Investment Fraud Targets Retirees
- California Investment Seminar Scams: Don’t Take the Bait!
- Promissory Notes are Risky Investments – Find Out Why
- Baby Boomers Beware of Investment Fraud
- Recovering Your Investment Losses: What You Can do to Help Your Case
- Is it Possible to Recover Your Investment Losses?
- Brokerage Firms Attempt to "Starve Out" Investors Through Appeal of FINRA Awards
- Pre-IPO Offerings Carry High Risks
- Don’t Let a Social Media Scam Steal Your Money
- What Do You Really Know About Your Investment Adviser?
- Keep Good Records in Case of a Broker Dispute
- The Lure of “Phantom Riches”
- 5 Common Persuasion Tactics Used by Investment Scam Artists
- Warning About Oil and Gas Investment Fraud
- Six Ways to Avoid an Investment Scam
- Fact vs. Fiction: Who's Really at Risk of Becoming a Victim of Investment Fraud?
- Criminal Investment Schemes Aren’t the Only Risk Senior Investors Face
- Be Aware of Common Investment Fraud Tactics and Watch Out for "Red Flags" of Stockbroker Abuse and Investment Advisor Misconduct.
- Senior Investors Warned – Don’t Let a Fancy Title Mislead You
- Strategies to Help Senior Investors Identify the Good Deals from the Bad
- Senior Investors Need to Watch Out For Common Practices Used by Scam Artists
- One of the Worst Things You Can Do When You Suspect Broker Fraud
- High Yield Investment Programs (HYIPs) – What to Look For & How to Avoid this Scam
- Don’t Fall Prey to Oil Spill Stock Scams
- Learn How to Spot and Avoid China Stock Scams
- The Signs of an Energy Stock Scam
- Ohio Investors: Learn About the Five Most Common Investment Scams
- Unauthorized Trading - When Your Broker Bought Or Sold Something Without Your Permission
- What It Takes to Have a Successful Unsuitability Claim
- Your Investment Loss May Not Have Been Your Fault
- Four Common Investor Problems Reported to FINRA
- Securities Fraud
- Ponzi Scheme Warning Signs: What You Need to Know Before You Invest
- Six Simple Steps to Help You Check Up on Your Broker
- Avoiding California Securities Fraud: Your Brokerage Account Statement
- Ohio Securities Fraud Lawyers Explain 5 Popular Investment Scam Tactics
- Securities Fraud Lawyers on the Red Flags of Ponzi Schemes
- How Can I Tell if a Company Offering an Investment is Operating a Ponzi Scheme?
- Securities Fraud Attorneys Explain the Warning Signs of Social Media Investment Fraud
- Won a Jury Verdict Against Prudential Securities for $260 Million
- What You Need to Know About Securities Fraud: Misrepresentation and Omissions
- Taking the Reins: Six Tips to Protect Yourself from Senior Investment Fraud
- Has Madoff's Ponzi Scheme Changed the Way Securities Fraud is Handled?
- FINRA Lawyers on Ponzi Schemes in History
- 2011’s Top Investment Scams and Securities Fraud
- Alert to Ohio Investors: Be Aware of 2011’s Five Most Common Investment Scams
- Ohio Investment Fraud: What to Watch Out For
- Rogue Brokers and Ponzi Schemes: You May Have a Failure to Supervise Claim
- Securities Fraud and the Current Economy: Why is the Ponzi Scheme so Prevalent?
- What should you do if you suspect a Ponzi scheme?
- Real Estate Ponzi Schemes Rampant in Recent Years
- Most Notorious Ponzi Schemes of All Time
- Six Warning Signs of Ponzi Schemes
- The Origin of Ponzi Schemes
- What Has The Madoff Scandal Taught Us?
- Who Are Ponzi Scheme Victims?
- Ponzi Scheme Victims Hire Meyer Wilson to File Lawsuit Against Brokerage Firm to Recover Investment Losses (News Article)
- How to Recognize a Ponzi Scheme
- Stockbroker Arbitration
- What Our Stockbroker Fraud Attorneys Want You to Know About Churning
- Stockbroker Misconduct Attorney Takes a Closer Look at REITs
- What Makes Non-Traded REITs Different and Potentially Unsuitable?
- How to Protect Yourself When It Comes to Non-Traded REITs
- The Good, the Bad and the Ugly of Stockbroker Arbitration
- What Happens During the FINRA Arbitration Hearing
- The Initials Steps in FINRA Securities Arbitration
- FINRA Securities Arbitration: Why It’s Mandatory & What’s Involved
- Current Investigations
- UPDATE - Michigan Stockbroker Martin Wegener Gets 9 Years for Ponzi Scheme
- Meyer Wilson Files Second FINRA Arbitration Against World Group Securities on Behalf of Large Group of Ponzi Scheme Victims
- UPDATE - Investigation Against St. Louis Stockbroker Joshua Gould and Woodbury Financial Services
- Potential Investor Claims Against Summit Brokerage Services Relating to its Former Stockbroker Timothy Cochrane from Eureka, California
- Claims Against St. Louis Stockbroker Joshua Gould and Woodbury Financial Services
- Recovering Investment Losses Against Third Parties Involved in Enrique Villalba's Fraudulent Investment Scheme
- Nevin Shapiro and Capitol Investments USA, Inc. - Alleged Ponzi Scheme
- Four of the Latest Schemes Investors Need to Watch Out For
- Michigan Stockbroker Martin Wegener and New England Securities
- Selling of private investments by brokers
- Non-traditional exchange-traded fund sales
- Private Placement Investments (Reg D Offerings)
- Investor Articles
- Equity Index Annuities: Good for the Broker; Not so Good for the Client
- The Truth About Financial Designations Revealed
- Understand the Type of Annuity You Are Purchasing
- Smart Tips for Hiring a Financial Advisor
- Investments in Limited Partnerships Can Be Complex & Risky
- Options for Investors Stuck in the Still-Frozen Auction Rate Securities Market
- Margin Investing Carries High Risks
- Should You Trust Your Adviser's Credentials? Regulators Say: Maybe Not.
- Risks of Reverse Convertibles
- Don’t Make the Mistake of Believing Bond Funds Are Without Risk
- Due Diligence Key to Protecting Against Hedge Fund Fraud
- A Big Name Firm Doesn’t Mean Little Risk
- Stockbroker vs. Investment Adviser: Do You Really Know the Difference?
- Seven Tips to Help Senior Investors Protect Their Investments
- FINRA Proposes Rule Change to Permit Arbitrator Referrals for Disciplinary Investigation During an Arbitration
- Registration Requirements for Securities, Brokerage Firms & Investment Professionals
- Is There Ever Really Such a Thing As a "Free Lunch"?
- Annuities Have Been a Cause of Concern for Investors and Regulators
- Retirees Often Suffer From The Misconduct Of Their Brokers
- When Your Broker Failed to Buy or Sell a Stock
- Regulators Focus on Auction-Rate Securities
- Regulators Crack Down on Stranger-Originated Life Insurance (STOLI)
- Reducing Your Odds of Financial Loss Starts with Choosing the Right Investment Professional
- Excessive Trading Activity Claims: What Every Investor Needs to Know
- The Downside of Equity-Indexed Annuities
- Recognizing Blue Sky Law Violations
- Survey Evaluates the Behavior of Older Investors In Relation to Risk
- Asset Allocation
- Breach of Fiduciary Duty
- Churning
- Excessive Activity
- Failure to Execute
- Failure to Supervise
- False Information
- Fraud
- Hedge Fund Fraud
- Margin Trading
- Misrepresentation and/or Omissions
- Mutual Fund Fraud
- Negligence
- Overconcentration
- Ponzi and Pyramid Schemes
- Private Placements
- Subprime Litigation and Mortgage Scams
- Unauthorized Trading
- Undisclosed Conflicts of Interest
- Unsuitability
- States
- Maryland Stock Broker Fraud and Arbitration Claims
- Kentucky Stock Broker Fraud and Securities Arbitration Claims
- Michigan Stock Broker Fraud and Securities Arbitration Claims
- Indiana Stockbroker Fraud and Securities Arbitration Claims
- West Virginia Stock Broker Fraud and Securities Arbitration Claims
- Stockbroker Fraud and Securities Arbitration Attorney
- Florida Stock Broker Fraud and Securities Arbitration Claims
- New York Stock Broker Fraud and Securities Arbitration Claims
- Texas Stock Broker Fraud and Securities Arbitration Claims
- Illinois Stock Broker Fraud and Securities Arbitration Claims
- Ohio Stock Broker Fraud and Securities Arbitraiton Attorney
- Brokerage Firms
- Woodbury Financial Services
- Do You Have a Claim Against Wells Fargo/Wachovia
- Wedbush Morgan Securities
- Waddell & Reed
- Wachovia Securities - Prudential Securities
- VSR Financial Services
- U.S. Bancorp Investments, Inc.
- UBS - UBS/PaineWebber
- Triad Advisors
- Transamerica Financial Advisors, Inc.
- Stifel Nicolaus & Company
- Learn More about Sterne, Agee & Leach, Inc.
- Southwest Securities - SWS Group, Inc.
- SII Investments, Inc.
- Sigma Financial Corporation
- Securities Service Network
- Securities America
- Sammons Securities Company, LLC
- RBC Dain Rauscher
- Raymond James & Associates - Raymond James Financial Services
- Provident Royalties
- ProEquities, Inc.
- Princor Financial Services Corporation
- Primevest Financial Services, Inc.
- Piper Jaffray & Company
- Pacific Life Securities Subsidiaries
- Oppenheimer & Co. - CIBC Oppenheimer
- Northwestern Mutual Investment Services, LLC
- NFP Securities
- NEXT Financial Group
- National Planning Corporation
- Mutual Service Corp.
- Morgan Stanley - Dean Witter
- Morgan Keegan & Co. - Regions Financial Corp.
- Moors & Cabot, Inc.
- MML Investors Services, Inc.
- MetLife Securities, Inc
- Merrill Lynch - Merrill Lynch Pierce Fenner and Smith
- Medical Capital Holdings
- M Securities Investment, Inc.
- Linsco/Private Ledger (LPL) - LPL Financial Services
- Lincoln Investment Planning, Inc.
- Lincoln Financial Advisors
- J.P. Turner & Company
- JP Morgan Chase - Banc One Securities
- John Hancock Financial Network/Signator Investors, Inc.
- Jefferies & Company
- Janney Montgomery Scott LLC
- Investors Capital Corporation
- Investment Centers of America, Inc.
- Investacorp
- INVEST Financial Corporation
- InterSecurities, Inc.
- H.D. Vest Financial Services, Inc.
- H&R Block Financial Advisors
- GunnAllen Financial, Inc.
- Genworth Financial
- Geneos Wealth Management
- FSC Securities Corporation
- First Allied Securities, Inc.
- Farmers Financial Solutions - Farmers Insurance
- Edward Jones - Edward D. Jones
- Deutsche Bank - Alex Brown
- Commonwealth Fin
- Citigroup - CitiCorp - Smith Barney
- Charles Schwab
- Capital Financial Group
- Capital Analysts Incorporated
- Cambridge Investment Research, Inc.
- Cadaret, Grant & Co., Inc.
- Brookstreet Securities Corporation
- Berthel Fisher & Company Financial Services, Inc.
- Bear Stearns - Bear Stearns Clearing Corporation
- Banc of America Securities - Bank of America
- AXA Advisors - AXA Financial
- Aura Financial Services, Inc.
- Associated Securities Corp.
- Ameritas Investment Corp.
- Ameriprise Financial - American Express Financial Advisors
- American Portfolios Financial Services, Inc.
- AG Edwards & Sons
- AIG SunAmerica
Video Library
- General:
- Don’t Become a Victim of a “Free Lunch” Seminar Scam
- Investment Fraud Attorney Discusses New Wall Street Reform Being Signed into Law Today
- Grand Rapids stockbroker Martin Wegener and New England Financial alleged fraud
- Investment Fraud Attorney Discusses Duty of Broker to Recommend Appropriate Investments
- We Represent Investors Who are Victims of Broker Misconduct or Fraud - Meyer Wilson
- Investment Fraud Attorneys Help Investors Harmed By the Misconduct of a Broker or Brokerage Firm
- Securities Fraud Lawyer Explains that Brokerage Firms Have a Duty to Supervise Their Brokers
- Investment Fraud Lawyer Discusses The Number One Question People Have When They Want To File A Claim Against Their Broker
- Securities Fraud Attorney Advises That Brokerage Firms Owe Investors a Fiduciary Duty in Many Jurisdictions
- Investment Misconduct Attorney Talks About the Overconcentration of Investment Portfolios
- Investment Fraud Attorney Says Check Brokers' Licenses Before You Hire Them
- Investment Fraud Atttorney Explains that Brokerage Firms Have a Duty to Supervise Their Brokers
- Broker Misconduct Attorney Discusses Mandatory Arbitration And How It Relates To Your Claim
- Investment Fraud Attorney Discusses the Life Cycle of Securities Arbitration Cases
- Investment Fraud Attorney Represents Investors Nationwide Who Have Been Victims of Investment Misconduct
- Securities Fraud Attorney Discusses Why It Is Important You Have An Experienced Attorney For Your Investment Misconduct Case
- Security Fraud Attorney Explains That Senior Citizens Are The Number One Target of Investment Fraud
- Securities Fraud Lawyer Talks About the Arbitration Process - From Start to Finish
- Broker Fraud Attorney Offers Free Book With Tips On How To Avoid Becoming A Victim Of Investment Fraud
Frequently Asked Questions
- Common Investment Misconduct Claims
- I've been offered an investment in a private REIT. Is that the same thing as a non-traded REIT?
- Is there a state or federal law that requires investment advisers to have credentials?
- What are some of the disadvantages of annuities?
- I was approached by an investment representative who claimed that he was a senior specialist. Is that a legitimate designation?
- Are bond funds safe investments?
- I am considering investing in a reverse convertible. How should I protect myself from loss?
- Investment Fraud
- I am a college student, and I’d like to get started with some small investments. Should I be worried about investment fraud?
- How can I tell if I’m at risk for investment fraud?
- I’ve heard that victims of the Madoff Ponzi Scheme may only recover a fraction of their losses. Is there any point in contacting an investment fraud lawyer if I’ve been the victim of a different Ponzi scheme?
- If I work with a stockbroker or financial advisor at a reputable firm, does that mean that I don’t have to worry about investment fraud? Could there be a situation when I could be the victim of a scam and need the help of an investment fraud attorney?
- My father recently lost his job, and I'm concerned that he's making bad investment decisions in hopes of "getting rich quick" while he's out of work. How can I make sure that he isn't getting involved in a Ponzi scheme or other investment scam?
- Interest rates are so low right now that Im looking into higher yield options for my retirement account. How can I protect myself from being tricked into an investment scam?
- How does a "pump and dump" scam work?
- In order to protect myself against securities fraud, what sort of questions should I be asking a potential financial advisor?
- I heard that the SEC is no longer allowing firms to "neither admit nor deny" wrongdoing. Is this true, and how could it affect my securities fraud case?
- I've been offered an exclusive investment opportunity in oil and gas in Texas. How can I tell if it's a scam?
- How can I protect my elderly parents from "cold calling" investment fraud?
- What are the most common types of investment fraud?
- What Should I Do If I Suspect Fraud Regarding an Investment?
- How Do I Know Which Investment Fraud Attorney to Hire for an Oil and Gas Fraud Claim?
- What are the most common types of investment fraud that my elderly parents might encounter?
- Can Promissory Note Investments Actually be Ponzi Schemes?
- How can an investment fraud attorney help me if my investment adviser turns out to be dishonest?
- I put my money into an investment, but I get the feeling something fishy is going on. What am I actually looking for on my account statements if I suspect investment misconduct or fraud?
- Can any attorney help with an investment fraud claim?
- I've recently lost a substantial amount of money on my investments. Should I call an investment fraud attorney?
- I really want to invest, but I'm afraid brokers will take advantage of my lack of experience. How can I keep my money safe and avoid getting mixed up in an investment scam?
- How do I find a FINRA attorney to represent my case?
- How can an Ohio investment fraud attorney help me?
- Are baby boomers at a high risk of investment scams? What are some of the warning signs to watch out for?
- My broker did not inform me of the risks associated with margin trading. I have lost money as a result. Can I hold the brokerage liable?
- Im retired and live on a fixed income. How can I protect myself from investment fraud?
- Securities Fraud
- How can I avoid investment scams through social media sites like Facebook?
- I think my stockbroker misrepresented an investment. What do I have to do to prove it?
- What's the difference between a Ponzi scheme and a pyramid scheme?
- How can choosing the right financial advisor help minimize the risk of being involved in a Ponzi scheme?
- I've lost money in a stock scam. What should I do?
- Do most law firms handle securities fraud cases?
- Why are income-oriented seniors so often pressured into investing in risky "structured products?"
- If I am the victim of a Ponzi scheme is it possible to sue the brokerage firm for the actions of an individual broker?
- How was Bernard Madoff able to trick so many investors with his Ponzi scheme?
- Is there a tax break for Ponzi scheme victims?
- Who are the commonly targeted victims in Ponzi schemes?
- Do I need a lawyer if I lost money in a Ponzi scheme?
- What are some of the warning signs of a Ponzi scheme?
- Do I need legal representation in a securities fraud case?
- Stockbroker Arbitration
- What is stockbroker fraud?
- My stockbroker seems to be making a lot of trades on my account, and Im not sure why. Should I be worried about stockbroker fraud?
- What happens if I lose my FINRA case?
- Where do I file a complaint against a stockbroker?
- Can I file a stockbroker misconduct claim in court or do I have to go through arbitration?
- Stockbroker Mediation
- What is FINRA mediation and how does it differ from FINRA arbitration?
- Who chooses the mediator when a claim is handled in securities mediation through FINRA?
- What happens if I cant reach a settlement in securities mediation?
- If my broker dispute is handled in mediation, will the decision be considered binding?
- Arbitration
- How can I avoid investing in a REIT scam?
- My financial adviser has quite a few credentials. Does that mean he has more experience and knowledge than other financial professionals?
- Is legal representation required in securities arbitration?
- What types of documents do I need to provide if I pursue a claim against my broker in securities arbitration?
- Can I file a complaint against my broker, in addition to pursuing arbitration?
- Is a FINRA arbitration decision binding?
- What is securities arbitration?
- When is arbitration required in investor claims against a brokerage firm?
- Who oversees the arbitration proceedings?
- What are the costs associated with arbitration?
- Where does the arbitration take place?
- How much time does the arbitration process take?
- What is mediation and how is it different than arbitration?
- Representation
- Do the investment fraud attorneys at Meyer Wilson handle broker fraud claims nationwide?
- What is the SEC?
- How do I find a securities fraud attorney?
- What role does the securities fraud attorney play in pursuing my claim?
- What legal fees will I incur?
- How are the expenses of pursuing my claim handled?
- What is the likelihood that my case will result in a favorable outcome?
- Is it important for investors to pursue their legal claims ?
- General
- I'm interested in investing in private placements. What does Regulation D mean to me?
- I've lost money on an investment. Does that automatically mean I have an unsuitability claim?
- After the recent tragedy, I am interested in putting my money into investments that will have an impact in Japan. What are the signs of an investment scam related to the Japan tragedy?
- After 45 years of marriage, I am now in charge of my investments. Prior to my husbands death, he handled all of our financial decisions. What can I do to protect myself from investment fraud?
- My wife and I are retired and receive a lot of telemarketing calls pressuring us to make investments. Is there a way to stop these calls?
- How do I know if my broker was negligent?
- I feel that the brokerage firm was not adequately supervising my broker and that is why I lost money on my investments. What should I do?
- My broker didnt explain the potential risks involved in the investment he recommended. I ultimately lost money. Can I hold the brokerage firm responsible?
- My broker recommended an investment that didnt fit my financial situation and I lost money. Can I hold the brokerage firm responsible?
- Do I have any legal options if I lost money in private placement securities?
- My broker invested a large percentage of my portfolio in one asset class. As a result, I have lost a significant amount of money. Who is responsible?
- What is the SIPC?
- What is a broker CRD number?
- What is fiduciary duty?
- What are blue sky laws?
- How do I know if I have a valid investor claim against my financial advisor or brokerage firm?
- What is FINRA?
- How are damages calculated for investors in a case against a brokerage firm or financial advisor?