Financial Advisor Fraud

Investment fraud is a serious allegation that can have far-reaching consequences for investors. One such case currently being investigated involves Gayle Dilla, a broker and investment advisor associated with NBC Securities, Inc.. The allegation, which is pending as of September 29, 2023, involves unauthorized withdrawals that led to the client incurring a tax liability. This […]

The U.S. District Court for the District of Massachusetts has passed a final judgment against Avtar S. Dhillon, a resident of California, in a significant case brought by the U.S. Securities and Exchange Commission (SEC). This complex case involved Dhillon and eight other defendants, who were part of fraudulent schemes related to illegal stock sales.

The seriousness of an allegation cannot be understated, especially when it involves the financial sector. The allegation against Damian Baird, a former broker with Morgan Stanley and Moors & Cabot, Inc., is a case in point. Baird has been named as a respondent in a Financial Industry Regulatory Authority (FINRA) complaint, alleging that he failed

Investing your hard-earned money with a financial advisor is an important decision that requires trust and confidence. However, when that trust is broken due to malpractice, it becomes a serious issue. An allegation has been made against financial advisor Dan Droeg and his previous company United Planners’ Financial Services of America A Limited Partner. Understanding

Investment fraud is a serious issue that can lead to significant financial loss for investors. Recently, allegations have been raised against Florence Capital Advisors, LLC (“FCA”) and Gregory A. Hersch (“Hersch”). The Securities and Exchange Commission (“Commission”) has instituted public administrative and cease-and-desist proceedings against the respondents, as they deem it appropriate and in the