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.
Megurditch Mike Patatian, Formerly of Western International Securities, Charged by FINRA with Unsuitable Investment Recommendations
Patatian is accused of recommending unsuitable non-traded REITs to customers. [...]
Elliot Smerling – Florida Fund Manager at JES Global Capital – Accused of Forging Investment Documents to Obtain $95M Loan
Smerling is facing possible jail time and a serious fine [...]
Triad Advisors Named in Customer Complaints Alleging Sales of GPB Capital
Triad Advisors was also fined $150,000 by FINRA for supervisory [...]
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.
