Investment Fraud Lawyers

Medley Management Fined $10M and given Cease and Desist

Brook Taube and Seth Taube, former co-chief executive officers of Medley Management, are currently facing charges brought against them by the Securities and Exchange Commission (SEC). These charges allege that they deliberately created an “illusion” of future growth by making misleading statements to investors and clients. The SEC has taken action to hold them accountable […]

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Investors File Complaints Against Emerson Equity For GWG Holdings L Bond Fraud

Haselkorn & Thibaut, P.A. (InvestmentFraudLawyer.com) is investigating Emerson Equity regarding GWG Holdings L Bonds. We are learning that GWG had been in financial trouble long before it began defaulting on interest payments. Recently the Securities and Exchange Commission (SEC) subpoenaed GWG for documents after it failed to file its annual 10-K. GWG put an end to the

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Financial Advisor Fraud: How to Spot Churning and Excessive Trading

Using cost-to-equity ratios and annualized turnover ratios to measure churning and excessive trading can be helpful in determining whether you have a conflict of interest. However, it is important to note that churning is not always illegal. In this article, we’ll look at how to spot churning claims and how to prove them. After reading

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UBS Yield Enhancement Strategy Lawsuit "FINRA": Jose Cornide Complaint

UBS Yield Enhancement Strategy Update

The UBS Yield Enhancement Strategy was a complex scheme that was designed to earn more yield when interest rates were low and markets were flat. It involved investing in options on the S&P 500 index, also known as the iron condor. Despite its complexity, the strategy was wildly successful, and even some investors have benefited

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Investment Fraud Litigation Basics

Many investors do not even know they are victims of investment fraud because they are too embarrassed to come forward or do not fully understand the nature of these investments. Others were misled by their broker or investment advisor. Still others may not want to acknowledge the fraud because they are afraid of the consequences

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