Stock Fraud Category Archives — Page 5 of 7 — Securities Fraud Lawyers Blog Published by Securities Fraud Attorneys

Stock Market Growth Continues Under ‘Trump Trade’

Published on: February 10, 2017 | by Savage Villoch Law, PLLC

U.S. stock markets continue to rally this week amid optimism around President Trump’s economic plans. Reaching a historic high on Monday, S&P 500 topped $20 trillion. This latest rally is a part of the ongoing boost stock market indices have been enjoying as economists wait for the Trump Administration to roll out its economic plan.

Despite a slight stall last week, the stock market has a renewed optimism, with financial and industrial stocks benefiting most from the ‘Trump trade’.

Despite stock market optimism from Wall Street, economists remain wary of the President’s economic plan. According to a Reuters report, some experts are starting to express concern over when he will actually introduce his plan.

Tips for Tracking Your Investment Brokerage Activity

Published on: January 19, 2017 | by Savage Villoch Law, PLLC

Many passive investors are happy just leaving their investments at the hands of their brokerage firms. Many investors opt review brokerage activity via a monthly overview statement rather than from a hands-on approach. Broker-dealers handling investment accounts are free to make most decisions on quantity and frequency of investment securities.

Although ostensibly broker-dealers must have the investor’s interests at heart, some may take advantage of the lack of oversight from the investor.

The Securities and Exchange Commission (SEC) warns that, in some cases, investors have encountered excessive fees due to sharp increases in brokerage activity on investment accounts.

Top Investment Scams

Published on: November 14, 2016 | by Savage Villoch Law, PLLC

We’ve talked a lot about investment scams in the past. Fraudsters are always finding new ways to take advantage of unwitting investors. However, there are several top investment scams that fraudsters favor and which serve as the basis for many new types of investment fraud.

Investors should recognize most of these, but being able to spot signs of these top investment scams may help you in assessing new potential investment risks or signs of fraud.

Pyramid/PONZI Scheme

SEC Warns of Form 4 Investment Scams

Published on: November 7, 2016 | by Savage Villoch Law, PLLC

The Securities and Exchange Commission (SEC) has announced that investors should be on the lookout for fraudulent claims using Forms 4.

A Form 4 is filed when investment insiders (officers, directors and anyone holding 10% or more in company securities) execute transactions. A Form 4, which must be filed within two days following a transaction, serves to inform the public of the insider’s transactions in company stock and other securities.

Apparently, scammers and fraudsters are posing as brokers and providing false Forms 4 and other official documentation to investors in order to sell them fake shares. By using forms that appear to be sent from the SEC and other regulatory agencies, scammers seek to legitimize fraudulent claims.

What to Know About Your Investment Broker

Published on: October 31, 2016 | by Savage Villoch Law, PLLC

Anytime you decide to invest, you always do background research on the asset or security, right? It is important to know the why and how of an asset or security’s performance before deciding to invest.

Shouldn’t this be the same for your investment broker?

Whatever security in which you invest, it is important to know who your investment broker is. Knowing your investment is in the right hands goes a long way in ensuring the security of your investment.

5 Ways to Recover Your Financial Investments

Published on: October 27, 2016 | by Savage Villoch Law, PLLC

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.

SEC Gets a Hand in Brokerage Oversight

Published on: October 20, 2016 | by Savage Villoch Law, PLLC

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 the rise of independent financial advisers.

Investment Scams May Spike Following Hurricane Matthew

Published on: October 12, 2016 | by Savage Villoch Law, PLLC

Investment scams are the last thing people want to worry about following a natural disaster.

Last week, Hurricane Matthew swept along Florida’s east coast on its way to the Carolinas. Major property damage was experienced in northeast Florida, coastal Georgia and North and South Carolina due to flooding.

Natural disasters result in millions of dollars in insurance claims and with that, come the threat of investment scams.

Morgan Stanley Ethical Conduct in Question

Published on: October 3, 2016 | by Savage Villoch Law, PLLC

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, look further into their interests with the banking giant.

Big Banks: Lesson (Un)Learned

Published on: September 30, 2016 | by Savage Villoch Law, PLLC

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 with the U.S. economy in 2008, resulting in the worst economic recession seen in the country since the “Great Depression” of the 1930s.