Private placements can offer appealing returns, but for many investors, they come with risks that are neither obvious nor fully explained. When brokers fail to[...]
Investment Loss Investigations
The Financial Industry Regulatory Authority (FINRA) regulates over 600k individual registered representatives, commonly referred to as stockbrokers or financial advisors. In 2017 alone FINRA received over 3,000 complaints from investors. 733 individual brokers were suspended and nearly 500 others were barred from the financial services industry entirely.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their investment advisor or stockbroker. We invite you to explore the articles below to get up-to-date information on brokers who we are currently investigating for misconduct. If you see your advisor’s name in the articles below, it’s worth reading about their regulatory history.
If you’ve suffered significant investment losses, click here to understand why it’s critical that you speak with an attorney about your options. When you’re ready, contact our firm for a free, no obligation review of your case.
Real estate investments are often presented as secure and profitable options for building wealth, but when brokers fail to clearly communicate risks or intentionally mislead[...]
Investing should be a path to financial growth and security, but fraudulent schemes and unethical broker practices can derail even the most well-planned financial strategies.[...]
One of the worst feelings is watching your financial goals slip away because a trade you trusted your broker to execute was never carried out.[...]
Margin trading can be a powerful investment strategy, offering the potential to amplify gains, but it comes with considerable risks. Margin trading can lead to[...]
Experiencing financial losses because of someone else’s mistake is always frustrating, to say the least. But when that mistake involves your broker — the professional[...]
Miami, Florida–(Newsfile Corp. – November 14, 2024) – Sonn Law Group (SLG), along with Peiffer Wolf, secured a preliminary settlement of up to $9.95 million[...]
Investment fraud is an unfortunate reality many don’t anticipate until it’s too late. Suddenly, trusted investments are gone, and the future you were building seems[...]
INVESTORS: Virginia-based investment advisor was charged by the SEC with defrauding investors out of nearly half a million dollars. The SEC accused Virginia investment advisor[...]
INVESTORS: Pennsylvania-based father and son financial advisors Kevin Kane and Sean Kane were charged by the SEC with fraud. The SEC accused Pennsylvania-based father and[...]