Former Western Asset Management CIO Ken Leech has pleaded guilty to obstructing an SEC investigation tied to an alleged cherry-picking scheme involving hundreds of millions of dollars in client gains and losses.
Investors researching Michael Lickiss and Arkadios Capital may have questions about recent FINRA arbitration proceedings, promissory note investments, and brokerage supervision obligations. This article examines the allegations, regulatory disclosures, and broader lessons investors can learn about supervision failures and potential recovery options.
The Giovanni Pennetta case highlights the risks that can arise in the growing market for pre-IPO investments. Investors considering private company opportunities should understand common warning signs, including exclusivity claims, pressure tactics, and the lack of independent verification.
The recent Christopher Burns case highlights an important question for investors: what happens when an adviser accused of fraud disappears before victims recover their losses? Inverted Pyramid Opening When investors discover that the financial professional who took their money has disappeared, many assume their chances of recovery disappear as well. The recent case involving Christopher [...]
Federal authorities allege that Illinois investment adviser John Sterling Myers used fabricated account statements to conceal losses and mislead investors in an alleged $3.6 million Ponzi scheme. The case serves as an important reminder of why investors should independently verify account balances and watch for warning signs of fraud.
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 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.
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.
Western Asset Management and former CIO Ken Leech face renewed scrutiny following a $100 million SEC settlement tied to allegations that profitable trades were steered to favored accounts while losses were shifted elsewhere.
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