Last Updated: November 20, 2021 INVESTORS: The SEC has alleged that president and chief compliance officer of Miami-based UCB, Lina Maria Garcia, has defrauded clients[…]
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.
Last Updated: November 18, 2021 INVESTORS: The SEC has alleged that New York Fund Manager Joshua Burrell, principal at Activated Capital, LLC, has been operating[…]
According to its 2019 SEC filing, Arcadian New Venture Fund is a Venture Capital Fund located in California. The fund purportedly raised $21.81M from 50[…]
The firm and its principals are accused of operating a multi-year scheme that yielded millions of dollars. The SEC charged New Jersey-based claims aggregator and[…]
Muntin is accused of defrauding one of his clients out of more than $314,000. On November 5, 2021, the SEC charged Michigan resident Steven F.[…]
Last Updated: November 17, 2021 INVESTORS: The SEC has alleged that Horizon Private Equity, III is a “massive ponzi scheme” and that investors are owed[…]
Last Updated: November 11, 2021 INVESTORS: The Sonn Law Group is currently investigating claims on behalf of investors who purchased interests in Northstar Financial Services[…]
At the time of the alleged misconduct, Rege was already barred from being in the investment advisory business. The SEC filed charges against Swapnil J.[…]
INVESTORS: Have you suffered losses investing in Epitome Investment Fund with manager Antonas Constantine, in Akron Ohio? If so, we may be able to help[…]
Last Updated: November 8, 2021 UPDATE: The SEC has charged New Jersey-based “claims aggregator” company and it’s principal owners – Joseph Cammarata, Erik Cohen, and[…]