Investors who suffered losses in connection with the Goliath Ventures matter should be aware of an important procedural requirement in the bankruptcy process. To preserve the right to participate in any potential recovery, investors may need to file a Proof of Claim with the bankruptcy court. A Proof of Claim is the official court-required form [...]
A federal court has now confirmed one of the largest recent FINRA arbitration awards, delivering a decisive win for investors and reinforcing the strength of arbitration outcomes. According to recent reporting (AdvisorHub: https://www.advisorhub.com/court-upholds-92-million-award-against-ubs/), a U.S. District Court judge rejected UBS Wealth Management USA’s attempt to overturn a $92 million arbitration award, which stemmed from allegations [...]
A sweeping enforcement action against broker-dealer Canaccord Genuity LLC is drawing renewed attention to the role financial firms play in safeguarding investors and preventing illicit activity. Federal regulators, including Financial Crimes Enforcement Network, the U.S. Securities and Exchange Commission, and Financial Industry Regulatory Authority, collectively imposed approximately $120 million in penalties against the firm for [...]
GWG Holdings, Inc. L Bond investors are now confronting a stark reality. After years of uncertainty following the company’s collapse, projected recoveries through the bankruptcy process are expected to total only a small fraction of invested capital. Recent updates tied to the GWG Wind Down Trust and court-approved liquidation framework indicate that investors may recover [...]
Federal regulators continue to pursue large-scale unregistered securities offerings, and a recent enforcement action involving GPB Capital Holdings highlights the risks associated with private placement investments marketed to retail investors. The U.S. Securities and Exchange Commission issued a cease-and-desist order in connection with an oil and gas investment offering that raised approximately $122 million from [...]
State securities regulators continue to focus on individuals operating outside the bounds of registration requirements, and a recent enforcement action by the Maryland Securities Division highlights the risks associated with unlicensed investment activity. According to a final order issued by the Maryland Securities Division, regulators imposed a cease-and-desist order against an individual accused of acting [...]
State securities regulators continue to pursue enforcement actions against financial professionals accused of misusing client assets, and a recent case out of Texas highlights the risks investors face when funds are placed under the control of an advisor without adequate oversight. The Texas State Securities Board issued an emergency cease-and-desist order against Smith Wealth Advisors [...]
State securities regulators are continuing to take aggressive action against online investment schemes, and a recent enforcement action by the New Jersey Bureau of Securities highlights the growing risks associated with investment solicitations conducted through messaging platforms. According to the New Jersey Attorney General’s Office, regulators issued a cease-and-desist order against an entity operating under [...]
Financial regulators continue to scrutinize brokerage firms over failures to supervise high-risk investment activity. A recent action involving J.P. Morgan Securities LLC underscores the significant risks investors face when complex or leveraged strategies are improperly recommended. According to regulatory findings, the firm entered into an Acceptance, Waiver, and Consent (AWC) with the Financial Industry Regulatory [...]
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