Did your broker sell you the Tsunami Lakeshore Integrated Funds? The Tsunami Lakeshore Integrated Fund, LLC, is being investigated by the US Commodity Futures Trading Commission as a fraudulent investment scam. Tsunami Capital, LLC was incorporated in 2002 and was located at 455 North Cityfront Plaza Drive, in Chicago, Illinois. This company was in the […]

On the SEC's website we learn that the Securities and Exchange Commission announced the U.S. Attorney for the District of Massachusetts has charged Andrey C. Hicks of Boston, Mass., in a criminal complaint unsealed on Friday, October 28, 2011. Hicks was charged with committing wire fraud, attempting to commit wire fraud, and aiding and abetting wire fraud, […]

Recently, a FINRA arbitration panel made a monetary award  in the case of Stone & Youngberg v. Kay Family Revocable Trust, No. 3:11-cv-00198 (N.D. Cal., 6/22/11),  which was appealed by the defense and lost.    This case involved the challenge by a broker-dealer to a $750,000 award to a former customer, who was advised by Stone & […]