Posts tagged with: "Stockbroker+Investigation"
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13 Sep 2024, 6:07 pm
Many of the investors who suffered losses are foreign nationals from countries in Asia and Latin America, including the Caribbean, who were unsuitably recommended this offshore entity by their US stockbroker. [read post]
23 May 2024, 2:00 pm
For the past year we have been looking into whether there were stockbrokers who allegedly unsuitably recommended this non-traded real estate investment trust (non-traded REIT), which invests in different kinds of commercial properties that are mostly in Texas. [read post]
11 Dec 2010, 8:14 pm
Other pending OIG investigations involve: • Allegations that attorneys at a regional office did not properly investigate a law firm for alleged obstruction of justice related to an SEC case. [read post]
24 Jun 2012, 9:59 pm
Often, the commission is as high as 15 percent, which is why many stockbrokers are motivated to recommend the investment despite unsuitability. [read post]
22 Oct 2011, 12:34 pm
She has also has set up a mortgage fraud strike force tasked with investigating all areas of mortgage fraud. [read post]
5 Aug 2021, 1:16 pm
Silver Law Group is investigating claims on behalf of investors who invested in conservation easement syndicates such as EcoVest Capital. [read post]
21 Oct 2011, 2:03 pm
He also withheld information that would enable his would-be employer to investigate the incident, as described in the FINRA order. [read post]
31 May 2011, 8:44 pm
Goldman Sachs subpoenaed, Washington Post, June 2, 2011 Wall Street and the Financial Crisis: The Role of Investment Banks, Senate Permanent Subcommittee on Investigations More Blog Posts: Goldman Sachs Ordered by FINRA to Pay $650K Fine For Not Disclosing that Broker Responsible for CDO ABACUS 2007-ACI Was Target of SEC Investigation, Stockbroker Fraud Blog, November 12, 2010 Goldman Sachs Settles SEC Subprime Mortgage-CDO Related Charges for $550 Million,… [read post]
17 Sep 2020, 11:12 am
Silver Law Group is investigating Nano-X Imaging Ltd. [read post]
17 Oct 2023, 2:39 am
Securities Investigation- Carter Multifamily Growth & Income Fund II Are you concerned about your investment in Carter Multifamily Growth & Income Fund II? [read post]
13 Jan 2022, 8:59 am
Before that, he was a Merrill Lynch stockbroker and investment advisor. [read post]
12 May 2020, 6:12 am
Former stockbroker James Kirchner (Kirchner), former employed by brokerage firms David A. [read post]
13 Dec 2009, 7:22 am
The Securities and Exchange Commission today charged GunnAllen stockbroker Frank Bluestein with fraud, alleging that he lured elderly investors into refinancing the mortgages on their homes in order to fund their investments in a $250 million Ponzi scheme. [read post]
16 Nov 2011, 8:03 pm
In fact, his attorney has publicly denied the allegations and asserted that investigators rushed to judgment. [read post]
26 Feb 2007, 8:53 am
A recent investigation by the Senate regarding the handling of Morgan Stanley CEO John Mack in regards to an insider trading investigation sheds light on why regulators are never able to "nail" senior level executives at major securities firms. [read post]
4 Oct 2011, 8:22 am
In September 2004, the Office of Federal Housing Enterprise Oversight (andquot;OFHEOandquot;) announced that the Federal National Mortgage Association (andquot;Fannie Maeandquot;) was under investigation for engaging in deceptive accounting practices. [read post]
15 Jul 2024, 7:41 pm
The broker-dealer recently fired the Oregon stockbroker after finding that he has been allegedly misappropriating clients’ money since 2007 when he was still registered with Financial West Group. [read post]
25 Mar 2024, 8:38 pm
In 2019, JP Morgan Securities consented to pay $14M to settle a stockbroker fraud claim brought by one client of Souma’s who blamed him for a $20M loss. [read post]
15 Jul 2024, 8:05 pm
Shepherd Smith Edwards and Kantas FINRA Law Firm Investigates Investor Losses Involving Barred Beverly Hills Broker Antoine SoumaWe Represent High-Net-Worth Investors With FINRA Lawsuits Our broker fraud lawyers are continuing to look into claims of investor losses by former clients of Beverly Hills financial advisor Antoine Souma. [read post]
2 Jun 2014, 5:23 am
On Broker Check, complaints filed against stockbrokers can be reviewed. [read post]
