GPB Capital Has Been Accused by the SEC of Defrauding Investors. Investors are filing lawsuits against brokerage firms who recommended investments in GPB Capital Did[…]
Investment Loss Investigations
The Financial Industry Regulatory Authority (FINRA) regulates over 600k individual registered representatives, commonly referred to as stockbrokers or financial advisors. In 2017 alone FINRA received over 3,000 complaints from investors. 733 individual brokers were suspended and nearly 500 others were barred from the financial services industry entirely.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their investment advisor or stockbroker. We invite you to explore the articles below to get up-to-date information on brokers who we are currently investigating for misconduct. If you see your advisor’s name in the articles below, it’s worth reading about their regulatory history.
If you’ve suffered significant investment losses, click here to understand why it’s critical that you speak with an attorney about your options. When you’re ready, contact our firm for a free, no obligation review of your case.
Archegos Capital Management’s portfolio dropped 27% after reaching a net capital of $40 billion last week Archegos Capital Management was founded in 2013 by Sung[…]
Zona Energy, Inc investors should seek claims that they were sold risky investments from brokers Zona Energy, Inc. is a portfolio company of a family[…]
ERF Wireless, Inc investors should seek claims that they were sold risky investments from brokers ERF Wireless, Inc. (ERFB) is a fully reporting corporation with[…]
If you purchased investments offered by Richman Energy, Inc., including Zona Energy, Inc., and ERF Wireless, you may be entitled to recover losses. Richman Energy,[…]
Mewbourne Energy Partners 17-A investors should seek claims that they were sold investments from brokers Mewbourne Energy Partners 17-A is a private placement that may[…]
Credit Suisse Group AG said it expects defaults in supply chain funds Credit Suisse Group AG announced that it is expecting defaults in a $10[…]
The Justice Department is seeking a stay in the SEC’s case pending the outcome of criminal proceedings. The Justice Department sought to stay the civil[…]
Triad Advisors was also fined $150,000 by FINRA for supervisory failures. On February 9, 2021, Triad Advisors signed an Acceptance, Waiver & Consent (AWC) agreeing[…]
The claimant, a former client of Arete Wealth Management, was awarded over $500k in damages. Howard Barron, a former client of Arete Wealth Management, asserted[…]