Investment Loss Recovery Intake: GWG L Bonds Submit the short form below to schedule a free consultation. GWG L Bonds: Answers for Concerned[...]
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.
GK Investment Holdings has issued a warning to investors in it’s “7% Bonds” that if 90% of the investors do not exchange their current bonds[...]
The SEC has accused Jason D. Lazarus, Esq. and Anthony F. Prieto, Jr. – CEO and President of Synergy Settlement Services, respectively – of fraudulently[...]
Sonn Law Group is representing customers of Emerson Equity and Newbridge Securities in the wake of the bankruptcy of GWG Holdings. We have heard from[...]
Global VIP and Global Advantage Select Were Unsuitable For Claimants Two older investors from Venezuela have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim[...]
Did your financial advisor sell you any of the below-listed high yield bond funds as a “conservative” or “moderate” risk investment? If so, you may[...]
INVESTORS: The SEC charged Richard Dow Rockwell and his investment firm for their roles in selling securities that defrauded investors. The SEC charged Richard Dow[...]
INVESTORS: The SEC obtained a default judgment against former broker and investment adviser for defrauding at least ten investors out of at least $458,000. On[...]
INVESTORS: The SEC charged a former New Jersey broker and investment adviser with misappropriating at least $680,000 from clients. On March 14, 2022, the SEC[...]
INVESTORS: FINRA censured and fined Colorado-based broker-dealer Geneos Wealth Management for alleged failures in supervising its registered representatives’ recommendations. FINRA censured and fined a Colorado-based[...]