Insights
January 26, 2016
Declining oil prices have victimized two leveraged exchange traded notes (“ETNs”) tracking master limited partnerships (“MLPs”). UBS Investment Bank announced the closing of ET...
January 25, 2016
Robert Scott Wiens of Lakewood, Colorado, a director a futures trading firm RXM Holdings Ltd., was sentenced last week to a year in prison and paid more than a quarter-million in restitution for secur...
January 25, 2016
Master limited partnerships (“MLPs”) are complex investment vehicles that have become massively popular in the past few years during the low interest rate environment. A MLP is a publ...
January 15, 2016
The SEC has barred from the securities industry Aubrey Lee Price, an imprisoned former Georgia investment adviser who pleaded guilty in 2014 to a massive fraud that helped bring down his troubled bank...
January 14, 2016
The SEC charged Edward Durante, a recidivist securities law violator, with operating a multi-year offering fraud that targeted investors in New England, Ohio, and California. The SEC’s complaint alleg...
January 13, 2016
Last year, the SEC charged a Texas attorney with defrauding investors with regard to two securities offerings, one pertaining to an oil and gas exploration venture and the other a fracking water filtr...
January 8, 2016
William Galvin, secretary of the commonwealth of Massachusetts, has charged a securities firm operating at Citizens Bank locations with “dishonest and unethical conduct” for selling an eld...
January 6, 2016
Despite headlines centered on challenges facing the cryptocurrency, Bitcoin is still booming with some of the highest mining and transaction rates in its history. The digital currency has yet to find ...
January 4, 2016
Last month, Jesse Morgan Hinson of Troy, Alabama was arrested for alleged violations of the Alabama Securities Act. Hinson turned himself in to Houston County law enforcement officials based on an arr...
December 30, 2015
According to Colorado securities regulators, two men have been arrested in unrelated securities fraud cases. Eddie Johnson of Sterling, Colorado was taken into custody after he was indicted on seven c...
December 23, 2015
Fiduciaries of the Insperity 401(k) Plan are targeted in the recently filed Pledger et al. v. Reliance Trust Co. et al., case. Attorney Jerry Schlichter, who has filed suits against many large corpora...
December 18, 2015
Owen Li, founder of Canarsie Capital, managed to lose $57 million in only two weeks, leaving his investors with only $200,000 and a letter of apology. Li is now also a convicted felon after admitting ...
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