Posts tagged with: "Stockbroker+Investigation"
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21 Feb 2008, 5:00 am
The central figure reported as themastermind of such investments was Ed May who, along with other individuals andfirms, is the subject of several investigations including by the U.S. [read post]
18 Mar 2010, 6:17 pm
According to FINRA, the self-regulatory agency is conducting a broader investigation into the more than 50 broker-dealers who sold the Provident Energy and Shale Royalties private placements to their customers, which may lead to more settlements and potential fines. [read post]
11 Oct 2017, 3:55 pm
By recommending a security to customers, the brokerage firm effectively represents that a reasonable investigation of the merits of the investment has been made. [read post]
3 Feb 2014, 9:59 am
White collar crimes include a broad range of offenses, usually involving crimes in the corporate environment or non-violent crimes committed by a business person or a person in a position like in this case, a stockbroker. [read post]
18 Mar 2010, 7:17 pm
According to FINRA, the self-regulatory agency is conducting a broader investigation into the more than 50 broker-dealers who sold the Provident Energy and Shale Royalties private placements to their customers, which may lead to more settlements and potential fines. [read post]
20 Mar 2012, 6:23 am
FINRA's investigation revealed that, from July 2007 through September 2010, Citi charged its customers markups and markdowns on corporate and agency bond transactions ranging from below 2.73% to more than 10%. [read post]
6 Nov 2017, 3:19 pm
Some FINRA-registered stockbrokers and financial advisors have also allegedly sold unregistered Woodbridge securities to clients, including Frank Capuano, who was registered with Royal Alliance Associates in Holyoke, MA. [read post]
13 Oct 2009, 11:00 am
The Senate's Permanent Subcommittee on Investigations says that Citibank paid the IRS $24 million over the allegations and worked to give the agency full disclosure. [read post]
19 May 2017, 8:32 am
For immediate assistance, please contact the investigative team at Stock Market Loss. [read post]
1 Jun 2023, 12:43 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
17 Feb 2021, 2:01 pm
Steven Luftschein (Steven Robert Luftschein CRD# 2690117) was recently barred from acting as a broker by the Financial Industry Regulatory Authority (FINRA) following an investigation into allegations that Luftschein violated federal securities laws. [read post]
10 May 2010, 7:13 pm
The Texas State Securities Board, which has been conducting an undercover investigation into the company, requested the court order against the investment firm. [read post]
11 Aug 2020, 7:20 am
Our lawyers can help you recover losses due to stockbroker misconduct and most cases are handled on a contingency fee basis, meaning you won’t owe us any money unless we recover your money for you. [read post]
17 May 2019, 11:20 am
Rodriquez also refused to supply documents when requested during the investigation. [read post]
17 May 2019, 1:58 pm
The firm finally took action after FINRA began an investigation from an “outside tip. [read post]
2 Jun 2011, 2:14 pm
Practice limited to the representation of investors in arbitration claims against stockbrokers for fraud, the sale of unsuitable investments, breach of fiduciary duty, failure to supervise. [read post]
15 May 2015, 10:58 am
If a licensed stockbroker or financial advisor has broken the rules with respect to a customer account, that customer could be entitled to recover their losses. [read post]
11 Jan 2022, 7:43 am
Stockbrokers have a lower standard for their investment recommendations, but they at least need to have had a reasonable basis for their investment advice. [read post]
15 Sep 2020, 1:11 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
13 Sep 2021, 12:50 pm
Our attorneys represent investors nationwide and internationally in class action lawsuits against issuers in state and federal court and in arbitration claims in cases of stockbroker misconduct. [read post]
