Financial advisor forgery cases are unfortunately not uncommon in the financial industry. These cases typically involve an advisor forging a client's signature or creating a fake document in order to carry out unauthorized transactions. In this blog post, we will explore a typical financial advisor forgery case, the consequences for the advisor, and what investors [...]
FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the brokerage industry in the United States. Customers can bring various types of claims in a FINRA arbitration, including:Breach of Contract: This claim arises when a customer believes that a brokerage firm or broker has breached a contract, such as failing to follow the [...]
INVESTORS: Virginia-based investment advisor was charged by the SEC with defrauding investors out of nearly half a million dollars. The SEC accused Virginia investment advisor Ryan Riley of soliciting advisory clients and other individuals to invest in securities issued by his companies, Green Light Energy, LLC and Mustang Resources, Inc., by claiming that he would [...]
The US Securities and Exchange Commission (SEC) has filed charges against Justin Sun, a prominent entrepreneur in the crypto asset space, and three of his companies - Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. (formerly BitTorrent) - for violating securities laws through the unregistered sale and offering of crypto asset securities, namely Tronix [...]
The Securities and Exchange Commission (SEC) has filed a complaint against American Patriot Brands Inc. (APB), a company that specializes in cannabis cultivation and distribution, as well as its CEO and five other entities and individuals. The charges stem from a scheme in which more than $30 million was raised from over 100 investors across [...]
INVESTORS: Pennsylvania-based father and son financial advisors Kevin Kane and Sean Kane were charged by the SEC with fraud. The SEC accused Pennsylvania-based father and son duo, Kevin and Sean Kane, with violating the antifraud provisions of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The SEC alleged that both Kanes were [...]
Miami, FL USA March 23, 2023 - Sonn Law Group is investigating claims involving Alliance Bernstein’s Option Advantage Strategy. Financial advisors with Sanford Bernstein and Alliance Bernstein allegedly encouraged customers and investors to invest in a new complex options strategy titled “Options Advantage” described as “seeking incremental return in a low yield environment.” Investors have [...]
INVESTORS: Aegis Capital broker Thomas Edison Kelly Jr. was named in a customer dispute alleging various forms of misconduct. Thomas Edison Kelly Jr. (CRD: 2877415) is registered as a broker with Aegis Capital where he’s been employed since 2018. Kelly was previously registered as a broker with National Securities Corporation from 2008 until 2018. Kelly [...]
The Securities and Exchange Commission (SEC) has accused Miles Guo, a Chinese businessman in exile, and his financial advisor, William Je, of fraudulent and unregistered offerings that raised over $850 million. The SEC claims that Guo and Je misused a large portion of the funds raised from investors to enrich themselves and their family members. [...]
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