In a February 29, 2012, article from BrowardBulldog.org, Ann Henson Feltgen writes that a Broward County probate judge has nipped an alleged attempt to redirect a $3 million inheritance intended to care for four beloved show dogs following their owner’s death. Judge Mark Speiser threw out financial advisor Charles E. Bishop’s claim as inheritor of the estate […]

In an April 2nd., 2012, article on ThinkProgress.com, Travis Waldon writes that former Goldman Sachs trader Greg Smith publicly resigned three weeks ago, decrying the firm’s “toxic and destructive" culture in a scathing New York Times editorial. But it isn’t just traders at America’s biggest investment bank that view their clients as “muppets,” at least […]

THE FOLLOWING IS AN ARTICLE FROM THE SEC'S WEBSITE: "The U.S. Securities and Exchange Commission announced today that the United States District Court for the District of Colorado entered an Order amending a February 11, 2011 Final Judgment wherein Greenberg, without admitting or denying the Commission’s allegations, consented to the entry of a Final Judgment […]

THE FOLLOWING ARTICLE WAS OBTAINED FROM THE SEC'S WEBSITE: "On March 1, 2012, a federal judge ordered the former CEO of Brookstreet Securities Corp. to pay a maximum $10 million penalty in a securities fraud case related to the financial crisis. In December of 2009, the U.S. Securities and Exchange Commission filed a civil injunctive […]

If your stockbroker over concentrated your portfolio in Thornburgh stock, you should be aware that this article was posted on the SEC's website: "On March 13, 2012, the Securities and Exchange Commission filed securities fraud charges in the United States District Court for the District of New Mexico against Larry Goldstone, the former chief executive […]

  In a recent New York times article, Greg Smith writes about his experience with Goldman Sachs as an executive director and head of the firm’s United States equity derivatives business in Europe, the Middle East and Africa. Here are some excerpts from his article that highlight Goldman Sachs intention to make money off their clients […]

In a March 12th., 2012, article in InvestmentNews.com, Mark Schoeff, Jr., writes that enforcement actions and fines by the Financial Industry Regulatory Authority Inc. or Finra, jumped sharply in 2011, with the latter rising to $68 million, from $45 million in 2010, a new study shows. The greatest proportion of that figure was penalties for […]

The Soreide Law Group is investigating claims on behalf of investors purchasing UBS Yield Optimization Notes. UBS’ Yield Optimization Notes are also known as reverse convertibles. Reverse convertibles are esoteric structured products based upon the performance of a short put option, or derivative. Reverse convertibles are attractive to investors seeking income because of the above […]

WASHINGTON — In a February article in The Bond Buyer, Jonathan Hemmerdinger writes that a Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Memphis-based Morgan Keegan & Co. to pay a Birmingham investor $1.95 million for misrepresenting that the Jefferson County, Ala., sewer bonds he purchased were safe, liquid and tax-free investments. These bonds were actually […]