Insights
March 1, 2017
It is a common misconception that securities fraud is strictly handled in criminal courts. There are also civil remedies for investors who have been defrauded out of their money, or whose brokers or a...
February 8, 2017
Adam Blank, an investor in the alleged $81 million Ponzi scheme pertaining to the buying and selling of tickets to popular shows, including Adele concerts and Broadway’s Hamilton, sued his broke...
February 1, 2017
The SEC charged Dwayne Edwards with fraud and obtained an emergency asset freeze against the South Carolina businessman. The SEC alleges that he funneled money he obtained from investors who believed ...
January 26, 2017
Michael J. Breton, a Massachusetts investment adviser who the SEC accused of securities fraud, has agreed to be banned from the industry after the SEC discovered he was operating an illicit cherry-pic...
January 23, 2017
A participant in the Charles Schwab Corp. 401(k) plan has sued the plan and corporate executives, claiming they violated their duties under the Employee Retirement Income Security Act (ERISA) by offer...
January 16, 2017
Richard Gearhart of Lowell, Indiana and George McKown of Indianapolis, Indiana have been indicted on fraud charges after prosecutors claim they sold securities to investors despite not being registere...
January 12, 2017
Right before Christmas, in a Brooklyn, NY courtroom, John Desantis was found to have “fraudulently solicited more than $9 million from 300 investors in 40 states while he owned the Staten Island-based...
December 30, 2016
Former financial adviser Ash Narayan agreed to be barred from associating with brokerage or advisory firms to settle regulators’ allegations that he secretly received nearly $2 million from comp...
December 14, 2016
A year ago, real estate investment trust (“REIT”) United Development Funding IV was accused of operating as a Ponzi scheme. Since then the FBI has raided its offices, the REIT’s shar...
December 7, 2016
Steve Mnuchin is expected to be the new Secretary of the Treasury Department for the U.S. Mr. Mnuchin is a former hedge fund manager, which got us to thinking about the complexity of these investments...
December 2, 2016
FINRA filed a complaint against Dawn Bennett for failing to testify in its investigation of possible fraud related to her clothing company. Bennett did not appear for testimony on four different occas...
November 30, 2016
In early September 2016, Wells Fargo was fined $185 million for opening up more than two million accounts under existing customers’ names, without those customers knowing about it, all in pursuit of t...
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