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Jan 24, 2017

FINRA January 2017 Disciplinary Actions

By |January 24th, 2017|Alabama, Bonds, Broker Check, Churning, Conflict of Interest, Conspiracy, Failure To Supervise, Fiduciary Duties, FINRA, FINRA News, Fraud, Georgia, Hedge, Bond & Mutual Funds, Legal Matters, Master Limited Partnership, Misappropriated Funds, Misrepresentation and Fraud, Non Traded Real Estate Investment Trust, Ponzi Scheme, Press Releases & News, Private Placements, Pump-And-Dump, REIT, SEC, Securities Law Violations, Selling Away, Suitability, Variable Annuity|

FINRA takes disciplinary actions against firms and individuals for violations of FINRA rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board. Below are a number of penalties announced by the regulator in January 2017. If you have been a victim of any of the below behavior, you may [...]

May 17, 2016

Leavitt Sanders’ Clients May Have Legal Rights

By |May 17th, 2016|Alabama, Broker Check, Fiduciary Duties, FINRA, Fraud, Georgia, Misrepresentation and Fraud, Press Releases & News, Securities Law Violations|

The Frankowski Firm, LLC has filed several lawsuits alleging that Leavitt Sanders and the entities he traded through committed investment fraud. These entities include Leavitt Financial Group, Inc., Sanders Yearian Advisory Group, Inc., Triad Advisors, Inc., IFC Holdings, Inc. d/b/a INVEST Financial Corporation, and Capital Asset Advisory Services, LLC. The investors allegedly defrauded, many of [...]

Jan 15, 2016

Banker Who Faked His Own Death Barred From Securities Industry

By |January 15th, 2016|Banking Fraud, Fraud, Georgia, Misrepresentation and Fraud, Press Releases & News, SEC, Securities Law Violations, Wire Fraud|

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 and cheated his clients out of millions of dollars. The penalty is inconsequential as Price is expected to spend three decades in [...]

Aug 20, 2015

Hedge Fund Manager Acquitted Of Inside Trading

By |August 20th, 2015|Atlanta, Georgia, Hedge, Bond & Mutual Funds, Insider Trading, Press Releases & News, Securities Law Violations|

A federal jury in Atlanta acquitted Steven E. Slawson, a New Jersey hedge fund manager, who had allegedly made illicit profits from sneak previews of financial results of Carter's Inc., an Atlanta-based clothier, before they were released. He was acquitted of thirty-four counts of insider trading. “This case was another example of the government overreaching [...]

Aug 17, 2015

FSC Securities To Pay $1.28M In Ponzi Case

By |August 17th, 2015|Atlanta, Banking Fraud, Broker Check, Failure To Supervise, FINRA, FINRA News, Fraud, Georgia, Misrepresentation and Fraud, Ponzi Scheme, Press Releases & News, Securities Arbitration, Securities Law Violations, Selling Away, Suitability|

FSC Securities will pay a $1.28 million arbitration award to investors who were defrauded by Aubrey Lee Price, who had feigned his death in 2012 to avoid being investigated for his $40 million Ponzi scheme. FSC, a broker-dealer in the AIG Advisor Group, was alleged by 8 investors to have failed to supervise a number [...]

Apr 17, 2015

Former Georgia Attorney Pleads Guilty To Securities Violations

By |April 17th, 2015|Atlanta, Conspiracy, Georgia, Huntsville, Madison County, Misrepresentation and Fraud, Press Releases & News, Securities Law Violations, Wire Fraud|

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, scheme or artifice to defraud, a Class C felony punishable by up to ten years and no less than a year and a day in [...]

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