Articles Posted in Securities Fraud

Risk-taking is a natural part of making financial investments These should be calculated risks, though; risks based on performance projections of whatever is being invested in. Though financial investments should not include those unforeseen or unaccounted for risks like fraud, investors are constantly facing it. In the event that your financial investments fall prey to…

Brokerage oversight is getting a fresh pair of eyes This week, the Securities and Exchange Commission (SEC) indicated that it would be calling on a need for more oversight from its financial regulation partner, the Financial Industry Regulatory Authority (FINRA). The decision to shift responsibility comes with an SEC initiative to devote more energies towards…

Bad Week for Big Banks Some of the nation’s top banks are facing another bad week, legally and financially as they are subjected to increased scrutiny and demand for reparations from federal regulators. Wells Fargo faces a continued inquest into the extent of its accounts fraud scandal as regional and municipal governments, including Hillsborough County,…

The Cause Big banks on Wall Street had been left unchecked for too long and the introduction of sub-prime lending tactics sealed the fate of U.S. financial stability. A culture of smoke-and-mirrors misleading consumers, coupled with a dire lack of regulatory oversight allowed big banks to run rampant. Years of bad banking tactics caught up…

To those familiar with the shenanigans we deal with on a daily basis in the financial industry, it comes as no surprise and as a refreshing breeze to read Senators Warren and Cotton’s letter to the Chairman and CEO of FINRA, Richard Ketchum. It is an open secret that many stock brokers and brokerage firms…

If you have been the victim of broker misconduct, you may be wondering if you need a stock fraud lawyer. Here are just a few things that indicate that you need to obtain the services of an experienced stock fraud lawyer: Your broker was involved in bond fraud & misconduct. If your broker did not…

If you’ve been the victim of stock fraud, you will definitely need the services of an experienced stock fraud attorney who will handle your case. But, you may be wondering, what will a stock fraud attorney do for you? In an attempt to make this process go a little bit easier for you — even…

Florida stock broker fraud attorney s well understand the underpinnings of the 2012 case of the U.S. Securities and Exchange Commission(SEC) versus First Resource Group, LLC, in which company principal David H. Stern was “charged with 3 counts of fraud.” The crime of fraud, in general, consists of deliberate misrepresentations–or omissions–of facts in order to…

Even the most careful and diligent investors can get stuck in an investment fraud scheme without an investment fraud attorney. Florida residents who have been victimized by an investment fraud scheme (i.e., a Ponzi scheme, stock portfolio loss, negligence on the part of your stockbroker or financial adviser) will need a Florida investment fraud attorney,…

Most people rely on a financial planner for advice on how to invest their savings. They place their trust and their future in the hands of people they believe are experts. It’s assumed that the financial planner will look at the age, income, savings amount, financial needs, and individual goals of their client to determine…