by admin | Jun 8, 2015 | Securities Fraud
Lynnda L. Speer, the widow of cable shopping pioneer Roy M. Speer and the personal representative of Mr. Speer’s estate, is suing Morgan Stanley Wealth Management plus an adviser and branch manager for more than $170 million. The suit was filed under the...
by admin | May 27, 2015 | Securities Fraud
Individuals who have retirement investments in a company 401(k) plan may now have more success filing a suit against the company for infractions such as breach of fiduciary duty. Recently, the United States Supreme Court unanimously ruled in favor of participants in...
by admin | May 27, 2015 | Securities Fraud
Aaron Parthemer, a Wells Fargo adviser, has been barred by the Financial Industry Regulatory Authority Inc. (FINRA) for engaging in a number of undisclosed businesses, including running a dance club in South Beach, Fla., plus running an Internet branding startup and a...
by admin | May 11, 2015 | Securities Fraud
While brokers and investment advisers are targeting older clients to build their book of business, regulators are attempting to protect graying investors. Misrepresentation of company strength Recently, the Financial Industry Regulatory Authority Inc. (FINRA) filed a...
by admin | May 6, 2015 | Latest News, Securities Fraud
In a better-than-average outcome, more than 90 investors who lost $9.7 million in a securities fraud debacle will recover a very substantial percentage of their losses. The investors had put money in a hedge fund, Samex Capital Partners, run by a Fishers, Ind., hedge...
