Broker/Advisor 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.


SEC Claims that Texas Real Estate Developers North Forty Development LLC and Texas Cash Cow Investments are Multimillion-Dollar Ponzi Scams

On January 25th, 2019, the Securities and Exchange Commission (SEC) filed financial misconduct charges against Phillip Michael Carter, two other co-defendants (Bobby Eugene Guess and Richard Tilford),[…]

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