Investment Fraud Lawyers

Don’t Fall Victim: Spotting and Preventing Financial Elder Abuse by Financial Advisors

As financial advisors, we should understand the importance of providing our clients with the best financial advice and guidance to help them meet their financial goals. Unfortunately, there are some individuals in our industry who do not share our commitment to ethical conduct and instead, prey on vulnerable elderly clients for personal gain. Financial elder […]

Don’t Fall Victim: Spotting and Preventing Financial Elder Abuse by Financial Advisors Read More »

How Raymond James’ Inaccurate Trade Confirmations Cost Investors Millions: A Deep Dive into the Recent Settlement with FINRA

FINRA announced today that Raymond James & Associates Inc. has settled charges of providing inaccurate trade confirmations to customers over eight years, totaling at least 1.85 million confirmations. The broker-dealer from St. Petersburg, Florida, has agreed to a $300,000 fine and a censure without admitting or denying any wrongdoing between January 2014 and May 2022.

How Raymond James’ Inaccurate Trade Confirmations Cost Investors Millions: A Deep Dive into the Recent Settlement with FINRA Read More »

GWG 2021: What is Going on with GWG L Bonds

Navigating the financial upheaval of GWG Holdings in 2021 can be challenging and unnerving for investors. One such significant development was the decline in their stock price by 49% between November 2021 and March 2022. This article will offer a thorough examination of crucial updates, developments, potential legal consequences and investor concerns surrounding this company during the turbulent period

GWG 2021: What is Going on with GWG L Bonds Read More »

Convicted Forefront Capital Holdings Broker Gets SEC Inquiry for Fraud: Will Justice be Served?

The SEC has stated that it intends to start public administrative proceedings against a disbarred broker currently serving a lengthy prison term. According to BrokerCheck, New York resident Bradley Reifler, 63, who became a broker in 1986, was barred from the industry in 2018 for refusing to cooperate with the Financial Industry Regulatory Authority’s “investigation

Convicted Forefront Capital Holdings Broker Gets SEC Inquiry for Fraud: Will Justice be Served? Read More »

Understanding GWGH: Exploring Financial Services Solutions And Investment Opportunities

Investing in today’s financial world can feel like a maze of numbers and predictions. Are you looking for fresh investment opportunities or ways to manage your assets effectively? Tackling this challenge often requires diving into the details of companies, such as stocks such as GWG Holdings, Inc., that are now bankrupt. GWGH has made waves

Understanding GWGH: Exploring Financial Services Solutions And Investment Opportunities Read More »