William B. McHenry and his company, First South Investments, LLC, are accused of selling $31 million in unregistered securities. The SEC filed charges against Mississippi[…]
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.
Jason Dodd Bullard and Angela Romero-Bullard are accused of perpetrating a Ponzi scheme by the SEC. Jason Dodd Bullard and Angela Romero-Bullard, a married couple[…]
Ruiz is accused of targeting elderly investors in his fraudulent scheme. Martin Ruiz, a New York investment adviser, is accused of fraud in connection with[…]
SEC Complaints Overview Investment and securities fraud is a serious issue in the United States. At Sonn Law Group, our dedicated SEC lawyers are committed[…]
Do Victims of Financial Fraud Need to Work with a Securities and Exchange Commission Attorney? If you’ve suffered significant investment losses as the result of[…]
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[…]
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[…]