How Investment Fraud Lawyers Can Help You Recover Losses
If you have landed on this blog, then unfortunately, you [...]
SEC Charges 16 Firms with $81 Million Penalty for Recordkeeping Failures
On Feb. 9, 2024, in a significant enforcement action, the [...]
Affinity Fraud: A Hidden Threat to Investors Highlighted by the Wilkinson Family Speaker Series
Affinity fraud, a pernicious form of investment fraud targeting specific [...]
The DOL Elevated Conduct Standards for Retirement Advisors
The U.S. Department of Labor (DOL) has recently finalized a [...]
Enhancing Investor Protection: The SEC’s New Public Service Campaign
The recent announcement by the Securities and Exchange Commission (SEC) [...]
SEC Charges JAG Capital Advisors and Founder with Investment Fraud
In recent news, the Securities and Exchange Commission (SEC) has [...]
Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. Case
In a wake up call for broker-dealers, the Financial Industry [...]
SEC Secures $4.5 Billion Settlement in Landmark Terraform Labs and Do Kwon Case
On June 13, 2024, the Securities and Exchange Commission (SEC) [...]
Investment News: Next DOL Fiduciary Proposal Generates Opposition Prior to Release
The Department of Labor's (DOL) latest proposal to redefine fiduciary [...]
Former U.S. Army Financial Counselor Charged by SEC for Defrauding Gold Star Families
The Securities and Exchange Commission (SEC) has taken decisive action [...]
SEC Alleges Additional Frank Executive’s Fraud in $175 Million Sale of Student Loan Assistance Company
The Securities and Exchange Commission (SEC) has taken legal action [...]
SEC Charges Merrill Lynch and Parent Company for Failure to Report Suspicious Activity
The Securities and Exchange Commission (SEC) has brought charges against [...]
SEC Moves Swiftly to Stop North Carolina-Based Ponzi Scheme
In an urgent response, the Securities and Exchange Commission (SEC) [...]
SEC Settles Charges Against RSE Markets Inc. for Running an Unregistered Securities Exchange
The Securities and Exchange Commission (SEC) recently concluded its investigation [...]