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.
Tyler Rigsbee, Formerly of Wells Fargo, Barred by FINRA Following Allegations of Misappropriating Client Funds
Rigsbee refused to provide information and documents requested in FINRA’s [...]
Douglas Edward Szempruch, Formerly of Aegis Capital Corp., Suspended by FINRA for One Year
Szempruch was suspended based on allegations of unsuitable trading practices. [...]
John Henry Swon, Formerly of Royal Alliance Associates, Barred by FINRA Following Refusal to Produce Information
FINRA launched an investigation into Swon after allegations that he [...]
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.
