INVESTORS: Former investment adviser Marc Frankel was charged by the SEC with misappropriating client funds to pay his personal expenses. Marc Frankel, the former investment[...]
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.
INVESTORS: Ramas Capital Management, LLC and owner Ganesh Betanabhatla were charged by the SEC with fraud. The SEC filed charges against Ramas Capital Management, LLC[...]
INVESTORS: North Carolina-based executives Gregory Lindberg and Christopher Herwig, as well as their Malta-based registered investment adviser, Standard Advisory Services Limited, were charged by the[...]
INVESTORS: Former board member and top sales agent for MJ Capital Funding, LLC, Pavel Ruiz, was charged by the SEC for his role in an[...]
Jump To: Answers for Concerned Investors ↓ Sonn Law Group is Representing Investors Who Have Experienced Losses in GWG Holdings L Bonds Get a Free Consultation[...]
INVESTORS: Former broker Anthony Mastroianni is facing civil and criminal charges following accusations of scamming at least 11 investors out of more than $1 million.[...]
INVESTORS: The SEC charged Western International Securities and several of its registered representatives with allegedly violating Regulation Best Interest standards when they sold $13.3M of[...]
INVESTORS: The SEC named multiple defendants in complaint alleging operation of $3M Ponzi scheme. On July 1, 2022, the SEC charged Terry Nikopoulos of Aurora,[...]
INVESTORS: The SEC filed charges against multiple individuals for promoting investments in a $450M Ponzi scheme. On June 29, 2022, the Securities and Exchange Commission[...]
“The fraudulent conduct identified by our Bureau of Securities in this case is striking. Today, we are taking action to stop [NRIA’s] unlawful conduct and[...]