Category: Investor Information

Financial Planners: What Are They and Who is Regulating Them?

By: Courtney Werning, Esq. Investors are confronted with a variety of professional designations for people in the financial services industry, but it can be difficult for the average investor to understand and appreciate the wide distinctions between them.  One particular designation that implies specialized skill might mean much less than you think. A financial planner… read more

Securities-Backed Lines of Credit: Putting Your Financial Future At Risk

By: Courtney Werning, Esq. Securities-backed lines of credit (SBLOC) are loans that are marketed to investors as an easy way to access cash by borrowing against the assets in their investment portfolios.  They are widely pitched by financial advisors and used as a source of revenue for firms in times of solid market returns. Brokers… read more

Investment Scams in 2020 You Could be Targeted By

While a new year may have brought new resolutions for you, it also comes with investment scams that consumers need to worry about. Some of them have been around a while, but others are relatively new and gaining traction. Most financial experts will tell you that a sign that an investment opportunity may be a… read more

Financial Fraud is on the Rise According to Officials, Scamming Billions of Dollars from Investors

It’s been nearly a decade since the $65 billion Ponzi scheme orchestrated by Bernard Madoff, and while there was a temporary dip in the number of similar schemes in the wake of that massive theft, securities officials are reporting that scams are on the rise again.

FINRA Issues Investor Alert About Fraud After Hurricane Florence

FINRA issued a warning to investors about potential investments and scams that promise huge financial gains in the aftermath of Hurricane Florence.

SEC Investor Alert: The Risks of Investing in Marijuana-Related Companies

The SEC’s Office of Investor Education and Advocacy recently issued a new Investor Alert warning potential investors about the risks of marijuana-related investments. Learn more in our latest blog here.

States Are Stepping Up with Fiduciary Rules of Their Own

States are enacting their own fiduciary rules to protect investors. For claims assistance, contact Meyer Wilson today for a free consultation.

Are the Sales of Private Placements an Indication of Brokers Gone Bad?

Securities firms with unethical brokers have a high rate of private placement sales. For information and legal help, contact the securities fraud lawyers Meyer Wilson today.

SEC Charges Transamerica Entities $97 Million Over Faulty Investment Models

The Securities and Exchange Commission (SEC) announced that it charged four Transamerica entities $97.6 million for its misconduct in misleading retail investors with faulty investment models. The SEC found that the faulty models developed and used by AEGON USA Investment Management LLC, affiliated advisers Transamerica Financial Advisors Inc. and Transamerica Asset Management Inc., and affiliated… read more

SEC Issues Warning About Cryptocurrencies, IRA Fraud

The United States Securities and Exchange Commission (SEC) recently issued an investor warning about the growing risks posed by unregistered IRAs and the growing levels of investment in cryptocurrencies. According to the SEC, the unregistered IRA market is estimated at approximately $100 billion in value, and while it gives people the opportunity to invest in… read more