Securities Fraud
Current perspectives on securities fraud, broker misconduct, and the legal pathways available to harmed investors nationwide.
Broker Misconduct
Updates on advisor negligence, unsuitable recommendations, excessive trading, and regulatory actions.
Investor Recovery
Legal updates and practical information for investors seeking to recover financial losses after misconduct.
Market Developments & Recovery Guidance
Timely guidance on securities fraud, broker misconduct, and investor recovery developments.
Latest Investor Alerts
Timely updates on emerging fraud cases, enforcement actions, investor complaints, and potential recovery issues.
Perry De Leeuw, Formerly of PFS Investments, Barred by FINRA Following Failure to Comply with Arbitration Settlement Agreement
Additionally, De Leeuw failed to respond to FINRA’s request to [...]
Jeremy Fortner, Formerly of Wells Fargo, Discharged Following Allegations of Borrowing Money from Clients
Fortner has two pending customer complaints arising out of the [...]
Jeffrey Dampf, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Testimony
Last Updated: December 3, 2021 INVESTORS: FINRA has barred Jeffrey [...]
BROKER/ADVISOR MISCONDUCT
Coverage of FINRA complaints, regulatory actions, unsuitable recommendations, unauthorized trading, and other forms of advisor misconduct.
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FINRA ARBRITRATION
Practical guidance on investor claims, broker disputes, arbitration awards, and the recovery process.
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ALTERNATIVE INVESTMENT LOSSES
Updates on private placements, DSTs, BDCs, non-traded REITs, and other illiquid investment products.
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Class Actions & Market Misconduct
Coverage of securities class actions, institutional misconduct, and large-scale financial harm affecting investors.
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INVESTOR RECOVERY RESOURCES
Helpful legal resources for investors evaluating recovery options after losses caused by financial misconduct.
