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.
Western Asset’s $100M SEC Settlement Shows Why “Cherry-Picking” Is More Than a Trading Technicality
The SEC's $100 million settlement with Western Asset highlights the serious consequences of alleged cherry-picking and unfair trade allocations. Learn what it means for investors and potential recovery claims.
Former Western International Securities Broker Jeffrey Higgins Pleads Guilty to $1.6 Million Investment Fraud Scheme
Former Western International Securities broker Jeffrey Higgins pleaded guilty to investment adviser fraud after federal prosecutors alleged a nearly 17-year scheme that caused more than $1.6 million in investor losses. Higgins also faces SEC charges and a permanent FINRA bar.
Investor Alert: John Sterling Myers and Sterling Capital Investments Charged by SEC and DOJ in Alleged $3.6 Million Ponzi Scheme
The SEC and Department of Justice have launched parallel civil and criminal actions against John Sterling Myers and Sterling Capital Investments, alleging a multi-year Ponzi scheme that raised approximately $4 million from investors and resulted in more than $3.6 million in losses.
BROKER/ADVISOR MISCONDUCT
Coverage of FINRA complaints, regulatory actions, unsuitable recommendations, unauthorized trading, and other forms of advisor misconduct.
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.
