Federal authorities have charged former broker and investment adviser Jeffrey Thomas Higgins in connection with an alleged long-running scheme to misappropriate client funds spanning nearly[...]
Broker / Advisor Investigations
The steady flow of investor complaints involving financial advisors across major brokerage firms continues to highlight persistent risks tied to suitability, disclosure, and supervision. A[...]
As litigation between Kraken and Etana Custody unfolds, a critical legal question is coming into focus: who is responsible when crypto custody breaks down and[...]
A series of recent developments across the alternative investment market is raising renewed concerns about liquidity, valuation transparency, and investor risk in non-traded REITs and[...]
A new lawsuit filed by cryptocurrency exchange Kraken against Etana Custody is raising serious concerns about the integrity of third-party custodial platforms operating within the[...]
A federal court has now confirmed one of the largest recent FINRA arbitration awards, delivering a decisive win for investors and reinforcing the strength of[...]
A sweeping enforcement action against broker-dealer Canaccord Genuity LLC is drawing renewed attention to the role financial firms play in safeguarding investors and preventing illicit[...]
GWG Holdings, Inc. L Bond investors are now confronting a stark reality. After years of uncertainty following the company’s collapse, projected recoveries through the bankruptcy[...]
Federal regulators continue to pursue large-scale unregistered securities offerings, and a recent enforcement action involving GPB Capital Holdings highlights the risks associated with private placement[...]
State securities regulators continue to focus on individuals operating outside the bounds of registration requirements, and a recent enforcement action by the Maryland Securities Division[...]