A newly filed federal lawsuit in the U.S. District Court for the Southern District of Florida has brought to light serious allegations of a $150[...]
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A school teacher with nearly 25 years of service lost her retirement savings after investing in Goliath Ventures, a cryptocurrency fund now alleged by prosecutors[...]
The collapse of Goliath Ventures, the cryptocurrency investment firm accused of operating a massive $328 million fraud scheme, entered another major chapter today as bankruptcy[...]
Regulators do not suspend four-decade veterans lightly. When they do, it commonly signals a failure to adapt to modern investor safeguard standards. A recent enforcement[...]
Gary Harlap, a Philadelphia-based financial advisor with UBS Financial Services, is currently the subject of a pending investor complaint involving allegations of improper investment concentration.[...]
Former Fort Lauderdale, Florida financial advisor Shomari Hearn (CRD# (https://www.google.com/url?q=https://adviserinfo.sec.gov/individual/summary/5026079&sa=D&source=editors&ust=1766341195965711&usg=AOvVaw1SXQzKi7ZQIlWzuhgUeBVR)5026079 (https://www.google.com/url?q=https://adviserinfo.sec.gov/individual/summary/5026079&sa=D&source=editors&ust=1766341195965863&usg=AOvVaw2_ENIkevB5VwKbj36djd0r)) was recently terminated from his former member firm in connection with alleged rule violations.[...]
Sean Sullivan issued the following statement about claims and charges issued against him by FINRA: Background and Factual Inaccuracies The Article purports to summarize a[...]
Citigroup must pay couple $3.1 million for not overseeing broker: panelBy Suzanne BarlynSeptember 16, 201310:44 PM EDTUpdated September 16, 2013 October 16, 2012. REUTERS/By Suzanne[...]
Conservation easement investments, often marketed as a way to preserve land and secure valuable tax deductions, have become a legal minefield for many investors. As[...]
Chuck A. Roberts, Stifel Financial Advisor October 4, 2024 According to an arbitration award issued October 3, 2024, Stifel Financial has been ordered to pay[...]