Larry C. Grossman of Palm Harbor, Fla., was barred from using the designation for allegedly making misrepresentations and omissions of material fact to his investment[…]
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (commonly referred to as the SEC) is a government agency whose mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. When investment advisors, stockbrokers, and investment firms violate SEC rules, the investors who rely on those entities to handle their funds in a responsible and ethical manner often sustain significant losses.
If your advisor or investment firm has been charged with violating SEC rules, contact our SEC attorneys today for a free consultation: 305.912.3000.
In 2018, the Securities and Exchange Commission (SEC) announced an emergency motion to halt securities offerings made by three California-based real estate investment companies. This[…]
According to reporting from Law360, the Securities and Exchange Commission (SEC) has filed an investment fraud lawsuit against the real estate investment company Equitybuild Inc.,[…]
John C. MacColl (CRD#: 839441) is a former broker and registered investment adviser (RIA). From 2006 to 2018, Mr. Maccoll was employed at UBS Financial[…]
Larry Werbel (CRD#: 828351) was formerly registered as a FINRA broker and a registered investment advisor (RIA). In 2015 and 2016, Mr. Werbel was associated[…]
Edward Lee Moody (IARD# 116475) is an investment advisor based in Virginia Beach, Virginia. Most recently, Mr. Moody was associated with CM Capital Management. Notably,[…]
La Croix, a prominent American sparkling water brand, has seen massive growth in popularity over the last several years. However, recently, information was released that[…]
According to reporting from Bank Investment Consultant (BIC), a retired worker has filed a $330,000 investment fraud lawsuit against a financial advisor in Cobb County,[…]
Jeffrey A. Laberge (CRD#: 4847129) is a formerly registered securities broker. Mr. Laberge was most recently employed at WFG Investments, Inc. (2009-2013) and Securities America,[…]
Ryan N. Bowers (CRD#: 3237368) is a previously registered broker and investment advisor. Most recently, Mr. Bowers was a securities representative for WFG Investments in[…]