Insights
March 11, 2016
Claus Foerster, an ex-broker from South Carolina, was indicted by a grand jury for bilking customers out of $2.8 million during a fourteen-year span. Foerster operated his scheme from 2000 to 2014 whi...
March 9, 2016
Keith Michael Rogers, a financial advisor from Huntsville, Alabama, pleaded guilty to one count of fraud in connection with the sale of securities, according to the Alabama Securities Commission. Spec...
March 9, 2016
Michael Oppenheim, a former JPMorgan Chase & Co. broker who claims to have thieved millions of dollars from clients because his brain was “hijacked” by an addiction to gambling on spo...
March 7, 2016
The Frankowski Firm, LLC is investigating Raymond James’ potentially inappropriate recommendations of oil and gas and commodities related investments. Investors may have legal recourse because o...
March 2, 2016
FINRA has accused a former MetLife Securities Inc. and Pruco Securities Inc. broker, Winston Wade Turner, of harmful and deceptive variable annuity sales practices. According to FINRA’s complain...
March 2, 2016
The Frankowski Firm is continuing its investigation into United Development Funding III and IV (UDF) on behalf of investors in the company’s real estate investment trusts (REITs). The FBI recent...
March 2, 2016
Law enforcement authorities raided the headquarters of United Mortgage Trust (“UMT”) in a suburb of Dallas, Texas this month, looking for documents pertaining to management of the company....
March 1, 2016
Thomas A. Guerriero of Hillsboro Beach, Florida pleaded guilty to running a $6.6 million telemarketing and investment fraud conspiracy. Guerriero was formerly the director of the Oxford City Football ...
February 29, 2016
Six investment adviser violations make up roughly 60% of all deficiencies the SEC’s staff find when they investigate adviser offices, according to Renee Esfandiary, assistant director of the SEC...
February 26, 2016
Robert O’Keef, formerly a registered representative with RBC Capital Markets, LLC, submitted a letter of acceptance, waiver, and consent (AWC). O’Keef was registered as a General Securitie...
February 25, 2016
According to the Public Investors Arbitration Bar Association (PIABA), FINRA is failing to help investors collect arbitration awards for damages from the brokers. Seventy-five FINRA arbitration awards...
February 23, 2016
FINRA barred broker George Johnson from the securities industry for operating a manipulative trading scheme to artificially inflate the market price and trading volume for the common stock of IceWEB, ...
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