Studio City, CA
Securities and investment fraud Lawyer at Studio City, CA
Practice Areas: Securities & Investment Fraud, Unknown
FINRA fined LPL Financial LLC an industry-record $7.5 million for at least 35 separate and significant failures of the firm's e-mail system. LPL was also ordered to establish a $1.5 million fund to co...
See Full GuideThe Commonwealth of Massachusetts reached a $9.6 million settlement with five firms related to improper sales of nontraded real estate investment trusts ("REITs"), including $8.6 million in restitutio...
See Full GuideThe Financial Regulatory Authority (FINRA) announced that it filed a complaint against John Thomas Financial (JTF), of New York, NY, and its Chief Executive Officer. The FINRA charged the company and i...
See Full GuideBloomberg published an article regarding a former New York stockbroker who admitted to sharing insider tips on International Business Machine Corporations (IBM) $1.2 billion acquisition of SPSS Inc. In...
See Full GuideThe Financial Regulatory Authority (FINRA) announced that it filed a complaint against John Thomas Financial (JTF), of New York, NY, and its Chief Executive Officer. FINRA charged the company and its C...
See Full GuideBloomberg published an article regarding a former New York stockbroker who admitted to sharing insider tips on International Business Machine Corporations (IBM) $1.2 billion acquisition of SPSS Inc. In...
See Full GuideCalifornia Securities Fraud Attorney The most recent spike in gas prices left Californians paying more than $5 a gallon at the pumps in October. Although analysts blamed the rise in prices on problems ...
See Full GuideBeware of Online Advertisements The Securities and Exchange Commission recently warned internet users to beware of a new method of raising funds illegally through crowdfunding, crowdsourcing, or other ...
See Full GuideThe Financial Industry and Regulatory Authority (FINRA) recently levied a substantial fine against one of the nations largest brokerage firms for overcharging customers in fees adding up to several mil...
See Full GuideCommon Claims Concerning Securities Fraud If you have suffered losses concerning your securities investments and feel that it may be due to fraud or misconduct on the part of your broker, brokerage fir...
See Full Guide