Former Broker Pleads Guilty in $8million Investment Scheme
Herbert S. “Steve” Fouke, 54, a Lafayette, Louisiana, businessman pleaded guilty Friday, September 6, 2014, to federal fraud charges because [...]
Herbert S. “Steve” Fouke, 54, a Lafayette, Louisiana, businessman pleaded guilty Friday, September 6, 2014, to federal fraud charges because [...]
Today, the Securities and Exchange Commission (SEC) charged Thomas Belesis, owner of independent broker-dealer, John Thomas Financial, and a Houston-based [...]
Securities Lawyer, Lars Soreide of Soreide Law Group, PLLC, recently announced that he is investigating claims against Linsco Private Ledger [...]
In an article, Feb. 7, 2013, in the New York Post, it was reported that (broker-dealer owner), Anastasios “Tommy” Belesis' [...]
The Financial Industry Regulatory Authority Inc., also known as FINRA, is proposing to tighten its definition of “public” arbitrator. FINRA [...]
With the stock market crash of 2008-2009 there has been an onslaught of investors filing lawsuits against their stock brokers [...]
The Financial Industry Regulatory Authority Inc. (FINRA) released its 2013 regulatory and examination priorities letter. The annual letter alerts the [...]
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” William Earl Manley (CRD #1177744, [...]
The Securities and Exchange Commission, also known as the 'SEC,' has filed 734 enforcement actions the fiscal year that ended [...]
FINRA, the Financial Industry Regulatory Authority levied a total of $68 million in civil fines during 2012, according to statistics [...]
Massachusetts securities regulators sued LPL Financial, LLC, in December over sales practices of brokers regarding the REITs. Secretary of the [...]
Soreide Law Group is currently investigating the Wells Timberland REIT for the investors who suffered financial losses. FINRA, the Financial [...]
The following article appeared in the "Tewksbury Advocate:" "Tewksbury scam victims win $155,250 settlement By Steve Adams GateHouse News Service [...]
Securities Lawyer, Lars Soreide, of Soreide Law Group, is currently investigating Gramercy Securities, Inc. This brokerage has been alleged to [...]
Jason T. Knapp, Corinth, New York, was arrested in connection with a nationwide Ponzi scheme, which allegedly involves hundreds of [...]
The Securities and Exchange Commission (SEC) announced that it obtained an emergency court order to halt an alleged Ponzi-like scheme [...]
The Securities and Exchange Commission (SEC) recently announced that it has obtained an emergency court order to freeze the assets [...]
Securitites Lawyer, Lars Soreide, has announced an investigation into Praetorian Global Fund (Praetorian). There was an SEC complaint filed against [...]
The following are statistics compiled by FINRA, the Financial Industry Regulatory Authority, posted recently to their website. The statistics show [...]
On the SEC's (Securities and Exchange Commission) website, it was announced they filed an injunctive action in the United States [...]