2023 – Page 60 Of 115 – Investment Fraud Lawyers

Hightower Securities Fined By FINRA Over Failure to Supervise

Ah, the world of finance! A realm where numbers dance, and regulations are the choreographers. But what happens when a player decides to freestyle? Enter Hightower Securities, LLC, a full-service broker-dealer that found itself in hot water with the Financial Industry Regulatory Authority (FINRA). Let’s unravel this tangled web, shall we? The Backdrop: Who is […]

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Sue Financial Advisor, Investment Fraud Lawyers

Allegations Against Advisor Jeffrey Higgins at Western International Securities, Inc.

It’s no secret that navigating the world of investments can be a minefield, especially when unscrupulous advisors are in the mix. Case in point: the recent allegations against Jeffrey Higgins of Western International Securities, Inc. On June 9, 2023, a customer dispute was filed against Higgins, citing unsuitable recommendations, misrepresentations, and omission of material fact.

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John Woods’ Investigation by Haselkorn & Thibaut and Alleged Fraudulent Schemes

Allegations of fraudulent investment schemes are no laughing matter. They can leave investors penniless and in ruin. This is the case with a recent complaint lodged against financial advisor John Woods. The claimant alleges that Woods orchestrated a Ponzi scheme, ultimately swindling investors out of a staggering $237,200 between 2015 and 2021. John Woods, previously

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Investigating John Woods’ Alleged Ponzi Scheme at Oppenheimer & Co. and Southport Capital

Well, folks, there’s a storm brewing in the financial world. Allegations are swirling around the head of one John Woods, a financial advisor formerly associated with Oppenheimer & Co. Inc. and Southport Capital. The claimant alleges that Woods orchestrated a Ponzi Scheme, a form of fraud that lures investors and pays profits to earlier investors

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Person working surrounded by SEC documents and financial charts in office.

Understanding the Massachusetts Uniform Securities Act: Sales, Purchases, and Registration Requirements

Are you finding it tough to navigate the complex world of securities sales and purchases in Massachusetts? It’s essential to know that the Massachusetts Uniform Securities Act is a critical law governing these transactions. This article will provide you with an easy-to-understand overview of this crucial act, including registration requirements and other provisions. Let’s dive

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