In the high-stakes world of finance, every email and instant message counts. The recent $4 million penalty JPMorgan Chase coughed up to the SEC serves as a multi-million dollar reminder that cutting corners on communication retention can lead to costly mistakes. With over two decades immersed in financial regulations and compliance, I’ve seen how easily […]
The seriousness of an allegation cannot be understated, especially when it involves financial advisors and their clients. Recently, a case has come to light involving a registered representative, Joshua Baker, who is currently under investigation by the national investment fraud law firm, Haselkorn & Thibaut. The complaint alleges that Baker, beginning in or around 2021,
Joshua Baker Fraud Case: Shocking $5M Claim Investigated by Haselkorn & Thibaut Read More »
GPB Capital Holdings, a private equity firm embroiled in civil fraud allegations since early 2021, faces liquidation by a court-appointed receiver. This action impacts about 17,000 investors, whose funds have been frozen since 2018. Chief Judge Margo Brodie of the U.S. District Court for the Eastern District of New York assigned Joseph Gardemal of Alvarez
What is going with GPB Capital Holdings? (2024) Read More »
The seriousness of allegations against financial advisors cannot be understated, and the case of Walter Shoczolek, a broker currently associated with Sigma Financial Corporation, is no exception. The allegations against Shoczolek are grave, with a customer dispute lodged on 9/13/2023 claiming that her investment was unsuitable and that Shoczolek liquidated it without her authorization. The
Walter Shoczolek’s Half-Million Dollar Scandal at Sigma Financial Corporation Exposed Read More »
Are you worried about potential investment fraud in North Dakota? Protecting your investments is crucial, and hiring the right investment fraud lawyer can make all the difference. As a state with 7 investment fraud lawyers, North Dakota residents have access to experienced legal representation for fraudulent investment protection. If you suspect you’ve been a victim
Hiring a North Dakota Investment Fraud Lawyer: What You Need to Know Read More »