Insights
May 11, 2015
The Alabama Securities Commission intercepted $16,000 worth of redeemed stock owned by Harry H. “Woody” Duncan from Huntsville, Alabama and successfully rerouted the cash to assist in the ...
April 23, 2015
A judge in Madison County, Alabama has granted a continuation for the trial scheduled for May in an alleged tomato farming scandal. James Lawhorne is alleged to have defrauded investors of Cypress Cre...
April 21, 2015
The Ohio Supreme Court ruled today that ex-Evergreen Corporation President David Willan will serve his full ten year prison sentence for securities violations under the state’s racketeering laws...
April 17, 2015
Hendrickx Toussaint, a former attorney from Atlanta, Georgia, has pleaded guilty in Madison County, Alabama Circuit Court to one count of Conspiracy to Commit Securities Fraud by employing a device, s...
April 15, 2015
Resources Know your rights, the relevant laws, and what questions to ask BEFORE you agree to an investment America’s individual and institutional investors have suffered enormous financial losses in r...
April 14, 2015
Alabama Resident Arrested For Alleged Securities Violations Timothy Lowell Franks of Winfield, Alabama was arrested earlier this month for allegedly violating the Alabama Securities Act. The arrest wa...
April 10, 2015
Will Allen, a former National Football League cornerback, was charged with fraud by the SEC for allegedly running a Ponzi scheme that bilked investors out of $31 million. Allen allegedly worked with S...
April 9, 2015
Securities regulators from New Hampshire want LPL Financial to pay $3.6 million in fines and repayments to investors for allegedly unsuitable sales of real estate investments to elderly clients. The N...
April 2, 2015
SEC Chairwoman States Fiduciary Battle Is Just Beginning Mary Jo White, Chairwoman of the SEC, told legislators that the agency will continue at its own pace, over an extended period of time, to addre...
March 20, 2015
Jacob Robert Craton of Palm Beach Gardens, Florida submitted an AWC in which he was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity for 45 days....
March 19, 2015
Bulltick, LLC of Miami, Florida submitted an AWC in which the firm was censured and fined $20,000. Despite not admitting or denying FINRA’s findings, Bulltick consented to the sanctions and to t...
March 18, 2015
North Carolina Resident Accused of Securities Fraud Micah Christopher Wilson of Gastonia, North Carolina was accused last week of defrauding investors out of hundreds of thousands of dollars. Law enfo...
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