Managing partner and Levin Law, P.A. founder Attorney Brian Levin has secured an arbitration award of over $500,000 against Arete…
Read MoreThousands of Investors Have Been Affected by GPB “Ponzi-like” Scheme The U.S. Securities and Exchange Commission has charged GPB Capital…
Read MoreFSC Securities Corp.’s broker faces customer disputes for unsuitable recommendations on REITs and losses for over $3.5 million. Frank Briseno…
Read MoreWells Fargo Has Announced Plans to Stop Servicing Clients Residing Primarily Outside the U.S. Last week, Wells Fargo Advisors a/k/a…
Read MoreDeutsche Bank Agrees to $130 Million Settlement Amid Accusations of Market Manipulation The national securities law firm, Levin Law, P.A….
Read MoreInvestors Have Suffered Losses Due to Northstar’s Collapse Following Greg Lindberg’s Conviction Soon after Northstar’s acquisition by Global Bankers, Northstar…
Read MoreRegulators Allege Inadequate Risk Management Practices and Insufficient Framework to Avoid Conflicts of Interest JPMorgan Chase Bank, National Association (“JPMorgan”)…
Read MoreFINRA Bars Former Morgan Stanley Broker after Failing to Comply with Requests for Information Levin Law, P.A., is investigating losses…
Read MoreFINRA Arbitration Panel award Investor $404,482 for Allegis Investment Services’ Misconduct Brandon Curt Stimpson (CRD#: 4299623), former Allegis Investment Services’…
Read MoreFSC Securities Corp.’s broker faces customer disputes for unsuitable recommendations on REITs and great losses for over $3.5 million. Frank…
Read MoreManaging Partner Brian Levin Obtains over $11,000,000 in Recoveries for Clients The national securities and business litigation law firm, Levin…
Read MoreLevin Law, P.A. Is Investigating Brokerage Firms That Recommended and Sold Braddock Fund Shares to Investors The national securities law…
Read MoreCo-founder of Intrinsic Value Partners and broker from Noble Capital Markets faces customer disputes for material misrepresentations and investment fraud…
Read MoreUnsuitable Sales of Complex Investment Products Prompts Statement From SEC Regarding Leveraged and Inverse Exchange-Traded Notes (ETNs) and Exchange-Traded Funds…
Read MoreConduct That Leads to Liability for Violating the Rights of Minority Shareholders In Michigan, shareholders may bring a cause of…
Read MoreStockbroker Freeze Continues to Face Customer Disputes for Alternative Investment Fraud Jonathan Douglas Freeze (CRD#: 2642023) is currently the subject…
Read MoreElizabeth Hughes and Gregory Felden Charged with Fraud The Secretary of the Massachusetts Securities Division has brought an action against…
Read MoreInvestment Advisor Cynthia Cowden Barred by FINRA for Unsuitable Investment Recommendations. The Financial Industry Regulatory Authority (“FINRA”) barred former NPB…
Read MoreAlthough several market sectors have been recovering in the economy thanks to a combination of stimulus checks, unemployment benefits, and…
Read MoreLevin Law, P.A. Is Investigating Brokerage Firms for Recommendations Related to “Exercise and Hold” Strategies The national securities law firm,…
Read MoreMichael Cohn Avoids Trial By Pleading Guilty in Federal Case As previously reported by Levin Law, P.A. (“Levin Law”), Michael…
Read MoreSan Antonio Businessman Charged with Defrauding Retired Police Investors The U.S. Securities and Exchange Commission (SEC) announced charges against San…
Read MoreThe Securities and Exchange Commission (“SEC”) brought an action against former LPL Financial LLC broker, Matthew O. Clason (CRD#: 4692266)…
Read MoreTroy R. Baily has settled with the Financial Industry Regulatory Authority (“FINRA”) after allegations of misconduct. In the FINRA settlement,…
Read MoreJ.P. Morgan Securities Continues to Face Regulatory Scrutiny J.P. Morgan Securities LLC (“JPM”), a broker-dealer subsidiary of JPMorgan Chase &…
Read MoreLevin Law, P.A. is Investigating Brokerage Firms for Recommendations Related to “Exercise and Hold” Strategies The national securities law firm,…
Read MoreGPB Investors Need to Consider Filing Claims as Fallout Continues Securities regulators continue their investigations into GPB Capital Funds. After…
Read MoreRegistered Broker and Investment Advisor Subject of Multiple Customer Disputes According to publicly available information from the Financial Industry Regulatory…
Read MoreThe national securities, commodities, and class action law firm, Levin Law, P.A. is investigating brokerage firms, investment advisors, and banks…
Read MoreNational securities and investment fraud law firm, Levin Law, P.A. (“Levin Law”) is investigating brokerage firms that recommended and sold…
Read MoreThe national securities, commodities, and class action law firm, Levin Law, P.A. (“Levin Law”), is investigating Merrill Lynch and its…
Read MoreFormer Morgan Stanley Advisor Pleads Guilty to Stealing $6 Million from Investors – Evaluate Your Legal Options Michael Barry Carter…
Read MoreJ.P. Morgan Broker Edward Turley Subject of Customer Complaints Regarding Unsuitable Trading According to publicly available information from the Financial…
Read MoreThe Brokerage Firm Continues to Face Scrutiny From Multiple Regulatory Agencies According to a recently released Annual Audited Report provided…
Read MoreCustomer Disputes Allege Broker Made Unsuitable Recommendations According to publicly available information from FINRA, Raymond James & Associates, Inc. has…
Read MoreCustomer Disputes Allege that Broker Misstated Information and Over Concentrated Portfolio in Unsuitable Investments According to publicly available information from…
Read MoreSEC Announces UBS Settlement Along With Cease-and-Desist Proceedings On July 20, 2020, the U.S. Securities and Exchange Commission (SEC) announced…
Read MoreFormer SEC Examiner Michael S. Cohn Indicted on Federal Charges GPB Capital Holdings, LLC (GPB) Managing Director and Chief Compliance…
Read MoreCustomer Dispute Alleges Broker’s Recommendations Were Misleading, Misrepresented, and Unsuitable According to publicly available information from the Financial Industry Regulatory…
Read MoreHave You Suffered Losses After Investing in the United States Oil Fund (USO)? If you suffered losses due to investing…
Read MoreAccording to publicly available information from the Financial Industry Regulatory Authority (FINRA), Seraphim M. Rine (CRD: 4305797) has received a…
Read MoreLevin Law Is Investigating Brokerage Firm David Lerner Associates for its Possible Recommendations and Sales of Energy Limited Partnerships and…
Read MoreCitigroup Broker Receives Seventh Complaint According to FINRA According to publicly available information through the Financial Industry Regulatory Authority (FINRA),…
Read MoreLevin Law, P.A. Continues to Investigate Brokerage Firms that Sold GPB Capital Holdings Funds Levin Law, P.A. (“Levin Law”) is…
Read MoreMorgan Stanley Smith Barney LLC (MSSB) was alleged to have provided misleading information to retail clients regarding its retail wrap…
Read MoreShould you bring a claim against your stockbroker, banker, or other financial professional for energy sector, including MLP losses? The…
Read MoreStock Market Volatility Pummels UBS YES Strategy Investors The volatile climate of the stock amid the coronavirus pandemic has resulted…
Read MoreFINRA Arbitration Claims May Help Investors to Recover Some Losses Stock market volatility during the last couple months has turned…
Read MoreKari Marlin Bracy has been Barred From Acting as a Broker or Associating with a Broker-Dealer Firm Kari M…
Read MoreAmid the COVID-19 Pandemic, Stock Markets Resemble 2008 Financial Crisis As the Coronavirus (COVID-19) sweeps the globe, so did one…
Read MoreShould you bring a claim against your stockbroker, banker, or other financial professional? Jeffrey Alan Eiler (CRD#: 1028716) is a…
Read MoreCompany that was set to revolutionize the beer industry faces a gritty future. According to an article in Forbes, Fishers,…
Read MoreBroker Kevin C. Doyle Also Faces New Allegations of Excessive Trading The Financial Industry Regulatory Authority (FINRA) regulates brokers and…
Read MoreTupperware Has Suffered Catastrophic Losses to Its Stock Prices On February 24, 2020, Tupperware Brands Corporation (NYSE: TUP) issued a…
Read MoreDespite Settlement Ending Criminal and Civil Investigations, Company Continues to Face Legal Issues Banking giant, Wells Fargo agreed to a…
Read MoreFINRA Hits Oppenheimer with $800k Fine and Requires Firm to Make Restitution On December 30, 2019, the Financial Industry Regulatory…
Read MoreCitigroup, J.P. Morgan, LPL Financial, Morgan Stanley and Merrill Lynch All Fined in FINRA Crackdown In a News Release issued…
Read MoreFINRA and Others Issue Censure Against Credit Suisse for Multiple Violations According to a News Release issued by the Financial…
Read MoreIf you invested in a TCA Global Credit Fund (“TCA Global,” “TCA Credit,” “TCA Management,” or “TCA Fund”) through a…
Read MoreMerrill Lynch customer seeks $500k for Alleged Broker Misconduct Regarding CYES Investment Recommendations Gordon Huntington Harper, Jr., CRD#: 5460504, has…
Read MoreLevin Law Investigates CYES Strategies Offered by Merrill Lynch, Morgan Stanley, Credit Suisse, UBS, and Other Banks and Broker-Dealers Levin…
Read MoreHow Investors Were Misled Into Believing the UBS Strategy Would Yield Low-Risk Returns The UBS Yield Enhancement Strategy (YES) was…
Read MoreFormer Triad and Current Arkadios Broker Michael Sievert Under Scrutiny Michael Joseph Sievert, CRD#: 2127441, has two pending customer disputes,…
Read MoreWyshak, a Previously Registered Broker, Now Faces Several Customer Complaints John Charles Wyshak, (CRD#: 1272260) is facing multiple customer disputes…
Read MoreLevin Law is Investigating Merrill Lynch Broker Peter Huffman After a Customer Complaint Alleging Unsuitable Recommendations and Misrepresentations Peter Huffman…
Read MoreCetera Advisors Accused Of Receiving $21 Million In Unlawful Gains The Securities and Exchange Commission (SEC) has filed an Amended…
Read MoreGPB Capital Holdings Investors Told It Will Not Receive Audit Information By End-of-Year as Promised As first reported by Investment…
Read MoreFINRA Takes Regulatory Action Against Broker Darren Kubiak As part of an ongoing investigation of brokers who made unsuitable recommendations…
Read MoreCraig Siegel Suspended for Failing to Respond to Regulatory Agency The Financial Industry Regulatory Authority (FINRA) suspended against Former Broker…
Read MoreInvestors Allege Broker Defrauded Them Out of Millions On July 1, 2019, the Financial Industry Regulatory Authority (FINRA) issued a…
Read MoreCYES Options Trading Strategy Far From Safe Bet for Some Investors Clients of some of the largest financial firms in…
Read MoreFinancial Firm Agrees to Sanction for Failure to Establish and Maintain Supervisory System According to a Letter of Acceptance, Waiver…
Read MoreFINRA Censures and Fines Financial Firm For Failing to Supervise Agent According to the Financial Industry Regulatory Agency (FINRA), Newbridge…
Read MoreLevin Law, P.A. Files Additional FINRA Arbitration Claims against Royal Alliance, Triad Advisors, and Vanderbilt Securities on behalf of GPB…
Read MoreSettlement Comes After Allegations of Improperly Charging Advisory Fees And Excess Commissions According to a recent press release by the U.S. Securities…
Read MoreAndrew Pearse Charged in $2 Billion Mozambique Investment Fraud Scandal Multiple former bankers with Credit Suisse have been charged with…
Read MoreHarvest Collateral Yield Enhancement Strategy (CYES) Fails to Deliver Harvest Volatility Management (“HVM”), founded in 2008 offers active, risk-managed investing…
Read MoreFlatter Yield Curve Results in Significant Losses For Some Investors Investors are seeking recovery for losses sustained in leveraged steepener…
Read MoreThe Securities and Exchange Commission announced Wedbush Securities, a Los Angeles based broker-dealer, is being fined over $8 million to…
Read MoreFormer Broker Thomas Lee Johnson Barred After Depositing $1 Million Received in Error Thomas Lee Johnson (CRD#: 1215434) was recently…
Read MoreIn an article recently published by The Wall Street Journal (“WSJ”), the WSJ discussed how UBS’s Yield Enhancement Strategy (YES)…
Read MoreBroker Under Scrutiny for Allegedly Receiving Misappropriated Funds According to FINRA BrokerCheck, stockbroker Christopher Michael Zelesnick (CRD#: 1257500) has a pending…
Read MoreLevin Law, P.A. Files Class Action On Behalf Of Investors In GPB Capital Funds To Seek Compensation For Losses As…
Read MoreLevin Law, P.A. Files an Additional FINRA Arbitration Claim against Triad Advisors on behalf of GPB Investors and Continues to…
Read MoreNew Allegations Plague Beleaguered Investment Firm GPB Capital Holdings According to a recent article published by InvestmentNews, GPB Capital Holdings…
Read MoreWells Fargo Business Partners Barred After Making Unsuitable Recommendations in High-Risk Energy Sector Charles Henry Frieda (CRD#: 5502319) was barred…
Read MoreThe Financial Industry Regulatory Authority (FINRA) handles disciplinary actions against registered brokers and brokerage firms. Investors can stay informed with…
Read MoreGPB Capital Holdings, LLC (“GPB”) just delivered a significant blow to investors, marking down the value of various GPB Capital…
Read MoreLevin Law, P.A. Files an Additional FINRA Arbitration Claim on behalf of GPB Investors and Continues to Investigate Brokerage Firms…
Read MoreLevin Law, P.A. (“Levin Law”) is continuing its investigation regarding the due diligence and sales practices of securities brokerage firms…
Read MoreAccording to information on FINRA’s BrokerCheck report , Registered Broker Debra Bourne Currently Faces Several Customer Disputes Registered Broker Debra…
Read MoreLevin Law, P.A. Files Another FINRA Arbitration Claim on behalf of GPB Investors and Continues to Investigate Brokerage Firms that…
Read MoreBroker and Investment Adviser, James Parrelly Faces New Complaint Allegations James Anthony Parrelly, CRD#: 728368, is a registered representative with…
Read MoreMassachusetts Secretary of Commonwealth Announces Regulatory Investigation Against Wells Fargo In a recent press release, Massachusetts Secretary of the Commonwealth,…
Read MoreCustomers Who Suffered Losses in Sheaff Brock’s Put Income Strategy Through TD Ameritrade May Be Able Recover Investment Losses Through…
Read MoreGPB Capital Holdings Investors Should Consider Their Legal Options Embattled GPB Capital Holdings Under Continued Scrutiny After Failing to Make…
Read MoreOn March 5, 2019, the U.S. Securities and Exchange Commission (the “SEC”) announced that BB&T Securities had agreed to a…
Read MoreFormer Registered Broker and Investment Adviser B Dembla, a/k/a Ben Dembla and Bhenoy Dembla, has been barred by the Financial…
Read MoreIt was announced in February 2018 that the Division of Enforcement of the Securities and Exchange Commission would be offering…
Read MoreThe job of a stockbroker, also known as a financial advisor, wealth manager, investment advisor, or private banker, is to…
Read MoreThe Financial Industry Regulatory Authority (FINRA) is a non-profit organization and regulatory agency that helps protect investors. FINRA enables investors…
Read MoreOn March 13, 2019, the U.S. Securities and Exchange Commission (the “SEC”) announced that Wedbush Securities Inc. would be required…
Read MoreIf you invested in a GPB Capital Holdings Fund, please contact Levin Law immediately. Following allegations that GPB Capital Holdings…
Read MoreLevin Law, P.A. (“Levin Law”) is investigating claims involving investment made with Global Credit Recovery, LLC, Delmarva Capital, LLC, Rhino…
Read MoreLevin Law, P.A. (“Levin Law”) is investigating claims involving broker-dealers, stockbrokers, registered investment advisors, and financial advisors who recommended and…
Read MoreLevin Law, P.A. (“Levin Law”) is investigating claims against Intl FC Stone (“FCStone”) for financial losses resulting from investments made…
Read MoreLevin Law, P.A. (“Levin Law”) is investigating claims against Westpark Capital, a securities brokerage firm that provides investment banking and…
Read MoreUBS Financial Services is a multinational financial services firm that is involved in virtually all major financial activities from retail…
Read MoreLevin Law, P.A. (“Levin Law”) has filed an arbitration claim in the Financial Industry Regulatory Authority (“FINRA”) against Aegis Capital…
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