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2025-11-18: Pacific Oak Strategic Opportunity REIT Reports Enormous Losses-Investors May Have Claims
2025-08-25: Pacific Oak Strategic Opportunity REIT Issues “Going Concern” Warning
2025-06-27: Investors In Hedgehog Promissory Notes May Have Legal Claims
2024-11-19: Super Micro Stock (SMCI) Reportedly Has Plan To Avoid Stock Delisting- Investors May Have Legal Claims
2024-10-28: Investors Sold “Auto-Callable” Notes May Have FINRA Arbitration Claims
2024-09-20: Healthcare Trust, Inc. (HTI) Investors May Have Arbitration Claims
2024-07-24: Moody National REIT II Lowers Estimated NAV Per Share To $17.25
2024-06-10: Investors In HJ Sims Private Placements May Have Arbitration Claims
2024-06-03: Sila Realty Trust Shares To Be Listed On New York Stock Exchange After Reverse Split
2024-01-24: American Healthcare REIT May List Shares on New York Stock Exchange
2024-01-17: Lodging Fund REIT III Replaces Auditors and Settles SEC Case- Investors May Have Claims
2023-11-14: SEC Charges Middlesex Mortgage Group and Masanotti with Running $5.9 Million Ponzi Scheme
2023-10-04: CIM Real Estate Finance Trust Inc. Subject of Tender Offer- Shares May Be Worth Less Than Estimated NAV
2023-10-03: Lightstone Value Plus REIT IV Regular Monthly Distributions Remain Suspended- Investors May Have Claims
2023-09-30: Sila Realty Trust Inc. Secondary Market Pricing Suggests Investors Have Substantial Losses
2023-09-29: Moody National REIT II Subject of Mini Tender Offer- Secondary Market Pricing Suggests Investors Have Substantial Losses
2023-09-28: Silver Star Properties REIT Indirect Subsidiary Files Bankruptcy Petition
2023-08-30: American Healthcare REIT, Inc. Shares Can Be Sold For Equivalent of $2.13/share- Investors May Have Claims
2023-08-29: Silver Star Properties REIT Subject of SEC Investigation- Investors May Have Claims
2023-02-01: Investors In The Necessity Retail REIT, Inc. (Formerly AFIN) May Have Arbitration Claims
2023-01-31: Customers Of Anthony “Tony” Liddle, Barred Wausau, WI Broker, May Have Arbitration Claims
2022-12-07: Shareholders of Lightstone Value Plus REITs I, II and III May Have Arbitration Claims
2022-12-06: VII Peaks Co-Optivist Income BDC II Investors May Have Arbitration Claims
2022-12-05: Investors In Shopoff Land Funds and Other Private Placements May Have Arbitration Claims
2022-12-03: Investors In Madison Funding I and Poet’s Walk Funding I May Have Arbitration Claims
2022-12-02: Hartman vREIT XXXI Inc. Questionable As Going Concern- Investor May Have Arbitration Claims
2022-04-25: GWG Holdings Files Bankruptcy- Will Likely Lead To Investor Losses
2022-04-06: GWG Holdings May File Bankruptcy- Investors May Have Claims
2022-02-15: GWG Holdings Officially Defaults On L Bonds Interest Payments- Investors May Have Claims
2022-02-02: GWG Holdings- L Bond Issuer- Announces Restructuring Plans Amid Foundering Financial Results
2022-01-31: GWG Holdings Faces Default On L Bonds Interest Payments- Investors May Have Claims
2022-01-27: LJM Preservation & Growth Fund Investors via Triad Advisors LLC May Have Arbitration Claims
2022-01-26: GWG Holdings Fails to Make Interest Payments Due on L Bonds- Investors May Have Claims
2021-11-24: Moody National REIT II Announces Will Not Estimate Value of Shares- Last Estimate Was $23.50 a Share in 2019
2021-11-23: Hospitality Investors Trust (ARC Hospitality) In Bankruptcy- Investors Face Losses of Majority of Principal Invested
2021-08-31: Horizon Private Equity, III, LLC Allegedly Operated As A Ponzi Scheme, According To SEC Court Complaint
2021-06-18: Lordstown Motors Corp. Investors May Have Legal Claims
2021-06-09: Sila Realty Trust Recommends Investors Reject $3.57/share Tender Offer
2021-01-05: Phillips Edison & Company (PECO) Reports Plans to Purchase Its Own Shares for $5.75 A Share, Reverse Split Shares
2020-06-05: Phillips Edison & Company (PECO) Suspends Distributions and Redemptions
2020-04-21: Hospitality Investors Trust Investors May Have FINRA Arbitration Claims
2020-04-06: Griffin-American Healthcare REIT III Halves Distribution, Suspends Share Repurchases
2019-10-02: James T. Booth, Former LPL Financial Broker, Arrested and Charged With Fraud
2019-10-01: Barred Broker James T. Flynn’s Customers May Have Claims Against Voya Financial or IFS Securities
2019-08-22: LPL Broker Kerry Hoffman Customers Who Were Sold GT Media Stock May Have Arbitration Claims
2019-08-20: Two GPB Capital Funds- GPB Holdings Fund II and GPB Automotive Fund- Show Significant Losses
2019-03-21: Cardinal Energy Group (CEGX) Charged by SEC- Investors May Have Claims
2019-03-06: Inland Residential Properties Subject of Recent Tender Offer at $11.39/Share
2019-02-28: KBS REIT II Subject of Recent Tender Offer at $3.21/Share
2018-12-27: Investors In Certain Oil and Gas Limited Partnerships Offered by David Lerner May Have Arbitration Claims
2018-12-26: Crash of the Condor: “Iron Condor” S&P Option Trading Strategy Marketed as Providing “Yield Enhancement” for Bond Investors Delivers Losses
2018-12-20: All American Oil & Gas is Bankrupt – Investors May Face Losses
2018-12-19: GPB Capital Holdings Private Placements Probed By SEC and FINRA
2018-12-18: Strategic Realty Trust Investors Seeking Liquidity Through Secondary Market Transactions May Face Principal Losses
2018-12-17: Cole Credit Property Trust IV Subject of Recent Tender Offer at $6.60/Share
2018-11-28: GPB Capital Holdings’ Auditor Resigns Due To “Perceived Risks”
2018-11-27: Recent Tender Offer and Secondary Pricing for Summit Healthcare REIT Shares Suggests Value of Less Than $2.00 a Share
2018-11-26: FS Investment Corp. II Shares Trade at Prices as Low as $7.20 a Share – Third Party Tender Offer Completed at $5.15 a Share
2018-11-21: Recent Secondary Market Pricing for Cole Credit Property Trust V Suggests Investors May Have Incurred Principal Losses
2018-11-16: NorthStar Healthcare Investors Seeking Liquidity May Incur Principal Losses
2018-11-14: KBS REIT II Continues to Explore Strategic Alternatives – Investors Seeking Liquidity Left With Limited Options
2018-11-13: Liquidity Options are Limited for FS Energy and Power Fund Investors
2018-11-12: Carter Validus Mission Critical REIT – Secondary Market Pricing Suggests Investors May Have Principal Losses
2018-11-08: Sierra Income Corporation Seeking Shareholder Approval for Medley Merger – Investors May Suffer Significant Losses
2018-11-07: Black Creek Diversified Property Fund Shares Secondary Market Trading Range Reportedly $6.95-$7.05 a Share- Investors May Have Losses
2018-11-02: Alleged Woodbridge Ponzi Schemer Robert Shapiro Fined $120 Million By SEC
2018-11-01: Former Financial Advisor David Ferdwerda Barred by FINRA From the Securities Industry- Allegedly Sold Woodbridge Securities
2018-10-30: Woodbridge Receives Judicial Approval of its Chapter 11 Plan of Liquidation, Paving Way for Payment of Investor Claims
2018-10-26: American Finance Trust (AFIN) Share Price Continues to Languish- Shares Subject to Tender Offer
2018-10-19: American Finance Trust (AFIN) Shares Continue to Languish- Post-IPO Shares Trading At Less Than $15 a Share
2018-10-18: Massachusetts Securities Regulator Targets Potential Sales Practice Abuse Surrounding Private Placement Investments
2018-10-09: 1st Global Capital Investors Solicited by Pinnacle Plus Wealth Management May Have Legal Claims
2018-10-02: Travel Insurance Sold By Airlines and Travel Booking Websites May Give Rise to Legal Claims
2018-09-25: Hospitality Investors Trust Inc. (Formerly ARC Hospitality Trust) Announces $9/Share Buyback
2018-09-21: World Tree Financial, Wesley and Priscilla Perkins, Cherry-Picked Certain Securities Trades According to SEC Lawsuit
2018-09-21: AFIN Update: Upcoming Conversion of American Finance Trust B-1 Shares May Have Dilutive Effect on AFIN Share Price
2018-09-20: Tamara Steele, Indiana Financial Advisor, Sued by SEC for Sales of Behavioral Recogition Systems, Inc. Stock
2018-09-14: SII Investments Non-Traded REIT Sales Targeted By Massachusetts Securities Regulator
2018-09-11: Investors in 1st Global Capital Notes Solicited by Advisors Including Matthew Walker and Pinnacle Plus May Have Options for Recovering Their Losses
2018-08-30: AR Global’s Healthcare Trust, Inc. Subject of $10.99/Share Tender Offer – Investors May Face Losses
2018-08-29: EquityBuild SEC Complaint- Further Details of Alleged Ponzi Scheme
2018-08-29: StockCross Charged With Improper UIT Transactions by Massachusetts Securities Regulators
2018-08-25: Investors in Future Income Payments, LLC May Have Arbitration Claims
2018-08-23: Strategic Storage Growth Trust Suspends its Distributions Effective August 23
2018-08-17: EquityBuild, Issuer of Purported Secured Notes, is a Ponzi Scheme, SEC Alleges
2018-08-10: 1st Global Capital Targeted by SEC and U.S. Attorney’s Office in Investigation Concerning Alleged Fraud
2018-07-30: American Finance Trust (AFIN) Shares Subject to Tender Offer
2018-07-27: SEC Alleges Financial Visions, Colorado-Based Funeral Financing Business, Operated as Ponzi Scheme
2018-07-25: Aegis Capital Fined by SEC & FINRA in Connection With Certain Penny Stock Transactions
2018-07-24: Infinex Investments Charged by Mass. With Unsuitable Sales at Bank Branches
2018-07-23: Jerry Raines, Formerly of HD Vest, Allegedly Sold Unregistered Woodbridge Securities
2018-07-20: Hines Real Estate Investment Trust Approves Final Liquidating Distribution
2018-07-20: Recent Tender Offer Pricing for CNL Healthcare Properties Suggests Investors May Have Incurred Losses
2018-07-20: CT Financial Advisors Temenos Advisory and George Taylor Charged By SEC
2018-07-19: American Finance Trust (AFIN) Lists on NASDAQ- Revealing Heavy Investor Losses
2018-07-19: Massachusetts Securities Regulator Targets Brokerages in Private Placement Sales
2018-07-02: Former Financial Advisor Kyusun Kim Barred From Securities Industry by FINRA
2018-06-29: Former NY Life Broker Joel Flaningan Allegedly Sold Unregistered Woodbridge Investments
2018-06-28: SEC Files Complaint against Suspended Broker John Piccarreto, Jr. in Connection With $102 Million Ponzi Scheme
2018-06-28: Alan H. New Allegedly Sold Unregistered Woodbridge Investments While Employed By NYLife Securities
2018-06-28: Mass. Regulator: MetLife Allegedly Failed To Contact Retirees About Benefits
2018-06-27: Financial Advisor Matthew Eckstein Charged with Grand Larceny and Fraud by Nassau County District Attorney
2018-06-21: Former Securities America Broker Hector May Submits to Asset Freeze by the United States Attorney for the Southern District of New York
2018-06-20: Financial Advisor Peter D. Holler Suspended by FINRA in Connection with Recommendations to Invest in Woodbridge Unregistered Securities
2018-06-20: Edward Wedbush Under Regulatory Scrutiny by NYSE Concerning Allegations of Failure to Supervise Certain Trades
2018-06-11: Woodbridge Investors Solicited by Former Quest Capital Broker Frank Dietrich May Have Arbitration Claims
2018-06-07: Essex Capital Corp and Principal Ralph Iannelli Charged With Securities Fraud by SEC
2018-06-06: Woodbridge Investors Solicited by Former Royal Alliance Broker Frank Capuano May Have Arbitration Claims
2018-06-04: Woodbridge Mortgage Fund Investors File FINRA Arbitration Claims Against Stockbrokers and Advisors
2018-05-31: Steven Pagartanis, Former Cadaret, Grant Broker, Accused of Fraud by SEC
2018-05-30: Recent Secondary Market Pricing Suggests Investors in Certain Non-Traded BDCs Have Sustained Losses
2018-05-25: Woodbridge Noteholders Seek Role in Bankruptcy Restructuring
2018-05-23: Carter Validus Mission Critical REIT Subject of Tender Offer at $3.36/Share As Largest Tenant Goes Bankrupt
2018-05-22: Cole Credit Property Trust IV Tender Offer Suggests Investors Have Substantial Principal Losses
2018-05-15: Phillips Edison Grocery Center REIT II Investors Face Losses – Mini-Tender Offer at $14.89/Share
2018-05-10: Investors in Illiquid REITs and Real Estate Limited Partnerships May Encounter Considerable Difficulty in Redeeming Shares for Cash
2018-05-08: Laidlaw & Company (U.K.) LTD. Consents to Sanctions Concerning Sales of Non-Traditional ETFs
2018-05-03: Griffin Capital Essential Asset REIT Investors May Have Substantial Losses Based On Recent Tender Offer For $6.89/Share
2018-04-27: “Yield Enhancement” Options Strategies, Including UBS “Iron Condors” Program, May Cause Outsized Losses
2018-04-25: Hard Rock Exploration Oil and Gas Private Placements Impacted By Bankruptcy Filing
2018-04-20: Vista Drilling Programs Investors Solicited by Brokers May Have Arbitration Claims
2018-04-19: Secondary Market Pricing for NorthStar Healthcare Income REIT Suggests Investors Have Principal Losses
2018-04-18: Scott William Palmer, Former Janney Montgomery Scott Broker, Barred by FINRA
2018-04-11: EV Energy Partners Declares Bankruptcy – Investors May Have Claims
2018-04-04: Benefit Street Partners Realty Trust Net Asset Value Reported As $19.17/Share: Sale Options Limited
2018-04-03: Triloma EIG Energy Income Fund Authorizes Plan of Liquidation and Dissolution
2018-03-30: SEC Formally Charges Wedbush Securities Over Claims Brokerage Firm Failed to Supervise Timary Delorme
2018-03-30: Former Cambridge Investment Research Broker Ralph Savoie Pleads Guilty to Mail Fraud
2018-03-26: The Parking REIT, Inc. Announces Immediate Suspension of Cash Distributions
2018-03-24: Alaska Financial Company III Promoters Allegedly Misappropriated Funds and Violated SEC “Regulation D”
2018-03-23: Wells Fargo Advisers Reportedly Under Investigation by Massachusetts
2018-03-22: Former Morgan Stanley Broker Thomas Alan Meier Barred in Connection with Customer Complaints
2018-03-21: Strategic Realty Trust Subject of $3.81/Share Tender Offer
2018-03-20: Recent Tax Ruling Sparks Selloff in Energy Master Limited Partnerships
2018-03-13: FINRA Bars Former Gold Coast Securities Broker in Connection with Allegations of Excessive Trading
2018-03-09: FINRA Bars Former Vanderbilt Securities Broker in Connection with Allegations of Churning Elderly Investor’s Account
2018-03-08: Sierra Income Corporation Investors May Have Losses After Completed Tender Offer
2018-03-08: Former Broker Brandon Stimpson Discharged By Allegis Investment Advisors In Connection With Risky Put Strategy
2018-03-08: Former Morgan Stanley Broker Voluntarily Consents to Securities Industry Bar In Connection With Certain Outside Business Activity
2018-03-07: Investment Firm Offers $12.17/Share For The Parking REIT, Inc. Shares
2018-03-06: Former NMS Capital Broker Darrell Rideaux Barred From Securities Industry by FINRA
2018-03-05: Strategic Realty Trust May Give Rise to Arbitration Claims
2018-03-02: Western International Securities, Inc. Consents to a Fine of $521,098 in Connection With Sales of Non-Traditional ETFs
2018-03-02: American Realty Capital NYC REIT Suspends its Distributions Effective March 1st
2018-03-01: Inventrust Shares Subject of $1.49 A Share Tender Offer- Investors Face Heavy Losses
2018-02-28: Investors In Non-Conventional Investments and REITs Face Suspended Redemptions
2018-02-28: Everest REIT Investors Launch Tender Offer for Griffin-American Healthcare REIT III Shares – Investors May Have Arbitration Claims
2018-02-27: LJM Preservation and Growth Fund Plummets In Value During VIX Spike
2018-02-27: FINRA Warned of Risks of VIX-Linked Exchange Traded Products
2018-02-26: ARC NYC REIT Increases its Defensive Tender Offer – Investors May Have Arbitration Claims
2018-02-23: Inverse ETF Investors Lose Millions As VIX Index Skyrockets
2018-02-23: Financial Advisor Melvin E. Case Suspended From the Securities Industry for Six Months
2018-02-22: American Finance Trust Shares Subject of Competing Tender Offers
2018-02-22: Woodbridge Bankruptcy Update: Judge Approves Settlement Agreement Calling For Board of Managers
2018-02-21: Investors in Credit Suisse’s VelocityShares Daily Inverse VIX Short Term ETN May Have Arbitration Claims
2018-02-20: Investors in Certain Volatility Linked Financial Products May Have Arbitration Claims
2018-02-15: FINRA Bars Former Wells Fargo Advisor for Allegedly Churning Customer Accounts
2018-02-14: Investors May Have Arbitration Claims Against Former Newbridge Securities Broker Austin Dutton
2018-02-13: Investors in AEI Accredited Investor Fund V May Have Arbitration Claims
2018-02-12: FS Energy and Power Fund Update
2018-01-23: Woodbridge Bankruptcy Update: Chief Restructuring Officer Resigns Amid Concerns Related to Need for Independent Trustee Oversight
2018-01-18: FINRA Issues 2018 Regulatory Guidance on Securities Backed Lines of Credit
2018-01-17: Woodbridge Bankruptcy Update: SEC Seeks Appointment of Chapter 11 Trustee to Ensure Adequate Representation of Woodbridge Investors
2018-01-16: Investors in Life Settlements Absolute Return I, LLC May Have Arbitration Claims
2018-01-15: KBS REIT II Investors May Have Arbitration Claims
2018-01-12: Investors in Roundstone Healthcare Capital V May Have Arbitration Claims
2018-01-11: FINRA Bars Former Ameriprise Advisor for Alleged Churning of Accounts
2018-01-10: Investors in Business Development Corporation of America May Have Arbitration Claims
2018-01-09: Investors in Inland Land Appreciation Fund II May Have Arbitration Claims
2018-01-08: Purported Massive Investment Fraud had Hallmark Signs of a Ponzi Scheme
2018-01-02: ARC Healthcare Trust III Approves its Plan of Liquidation
2017-12-26: Investors in American Finance Trust May Have Arbitration Claims
2017-12-22: SEC Charges Operators of Woodbridge with Running $1.2 Billion Ponzi Scheme
2017-12-21: MML Financial Advisor Brian Travers Barred by FINRA
2017-12-20: LPL Loses $462,000 Arbitration Claim Involving Former Broker Charles Fackrell
2017-12-19: SEC Censures Ameriprise in Connection With Sales of F-Squared AlphaSector Strategies
2017-12-18: Summit Healthcare REIT Shares May Be Worth Less Than $2 A Share
2017-12-15: Investors in CNL Lifestyle Properties, Inc. May Have Arbitration Claims
2017-12-14: Former Wells Fargo Brokers Barred for Recommending Risky Over-Concentration in Oil & Gas Investments
2017-12-13: FINRA Bars Broker for Failure to Produce Documentation Concerning Annuity Sales
2017-12-12: Former Bolton Capital Broker Paul Smith Indicted for Alleged Haverford Group Scheme
2017-12-09: Woodbridge Group of Companies Receives Court Approval on its First Day Bankruptcy Court Motions
2017-12-08: Woodbridge FPCM Investors May Have Legal Rights
2017-12-08: SEC Files Civil Complaint Alleging Churning Against Two New York Stockbrokers
2017-12-07: Woodbridge Group of Companies Tells Investors Bankruptcy Is “Effort To Recapitalize Debt And Establish Stronger Financial Platform”
2017-12-05: Woodbridge Group of Companies Files for Chapter 11 Bankruptcy Protection
2017-12-05: Woodbridge Mortgage Investment Fund 3, LLC Subject To Texas Cease-and-Desist Order
2017-12-04: FINRA Sanctions Morgan Stanley for Failing to Supervise UIT Sales
2017-12-04: Bank of America/Merrill Lynch Strategic Return Notes (SRNs) Collapse In Value
2017-11-30: SII Investments Non-Traded REIT Sales Subject of Massachusetts Complaint
2017-11-29: FINRA Bars Former United Planners Broker Jerry Lou Guttman For Alleged Private Securities Transactions
2017-11-29: Investors in United Development Funding IV May Have Arbitration Claims
2017-11-28: Woodbridge Mortgage Funds Subject of Pennsylvania Orders to Show Cause
2017-11-28: Investors in GWG Renewable Secured Debentures May Have Arbitration Claims
2017-11-27: Mass. Regulator Serves Woodbridge With Cease-And-Desist Order
2017-11-27: Texas Securities Regulators Bar Former VSR Broker Mickey Long From Selling Alternative Investments
2017-11-22: FINRA Orders Restitution In First Allied Securities Mutual Fund Sales Charge AWC
2017-11-21: Investors in United Development Funding III May Have FINRA Arbitration Claims
2017-11-20: Investing in Non-Traded BDCs May Get Even Riskier
2017-11-17: Woodbridge Group of Companies Targeted In Contempt of Court Motion By SEC
2017-11-16: John P. Correnti of AXA Advisors Barred By FINRA
2017-11-16: FINRA Fines Hornor, Townsend & Kent $275,000 Over L-Share Variable Annuity Sales Practices
2017-11-16: Court Orders Woodbridge To Produce Documents To SEC
2017-11-15: Oil and Gas Master Limited Partnerships At Issue In FINRA Arbitration Case Won By Customer
2017-11-15: Investors Face Losses As Corporate Capital Trust Begins Trading on NYSE
2017-11-15: Woodbridge Mortgage Investment Funds Sales Probed By Colorado Division of Securities
2017-11-14: Former Janney Montgomery Scott and RBC Financial Advisor Lisa J. Lowi Barred From the Securities Industry
2017-11-14: Woodbridge Officials Invoke the 5th Amendment Against Self-Incrimination
2017-11-14: Investors in Healthcare Trust, Inc. May Have Arbitration Claims
2017-11-13: Woodbridge Mortgage Investment Fund 4, LLC Subject to Michigan Cease-And-Desist Order
2017-11-11: SEC Subpoenas Numerous Woodbridge LLCs in Probe of Sales of Unregistered Securities
2017-11-10: Ameritas Fined $180,000 by FINRA Over L-Share Variable Annuity Sales Practices
2017-11-09: U.S. Charges Former Merrill Lynch Financial Advisor Thomas Buck With Securities Fraud
2017-11-09: First Allied Financial Advisor Mike Azad Barred by FINRA
2017-11-08: EnerVest Oil and Gas Private Equity Fund Collapses
2017-11-07: Former LPL Broker Charles Fackrell Pleads Guilty to Securities Fraud Linked To Alleged Ponzi Scheme
2017-11-07: American Finance Trust REIT Investors May Have Arbitration Claims
2017-11-06: Regulators Accuse California-Based Woodbridge of Sales of Unregistered Securities
2017-11-06: PR Bonds Plummet In Value After Hurricane Maria- Investors May Have Claims Against Brokers and Financial Advisors
2017-11-03: Investors in HMS Income Fund May be Able to Recover Losses Through Arbitration
2017-11-02: 3x Leveraged and Inverse ETFs May Give Rise To Investor Claims
2017-11-01: American Capital Properties, Inc. CFO Convicted of Securities Fraud
2017-10-31: Investors in Hospitality Investors Trust, Inc. May Have Arbitration Claims
2017-10-30: Wisconsin Enters Order Against Conestoga Life Settlements Agents in Connection with Viatical Sales
2017-10-26: Vestin Realty Mortgage I and II and MVP REIT I and II Investors May Have Arbitration Claims
2017-10-25: Volatility Linked ETF Investors May Have Arbitration Claims
2017-10-25: Atlas Resources 28-2010 L.P. Investors May Have Arbitration Claims
2017-10-25: Hospitality Investors Trust Inc. (formerly ARC Hospitality Trust) Subject Of $5.53 A Share Tender Offer
2017-10-25: Investors in ARC Healthcare Trust III May Have Arbitration Claims
2017-10-24: Investors in ATEL 14 LLC May Have Arbitration Claims
2017-10-24: SEC and FINRA Focus On Customer Account Hack Threats
2017-10-23: Williamsville, New York Financial Advisor Michael Giokas Arrested by FBI on Fraud Charges
2017-10-23: Energy Products Investors May Have Arbitration Claims
2017-10-16: FINRA Prioritizes Oversight of Variable Annuity Sales and Switching for Potential Abuse
2017-10-16: FINRA Hearing Panel Fines Carolina Financial Securities, LLC For Promissory Note Sales
2017-10-16: Colorado Springs-Based LPL Broker Sonya Camarco Indicted on Securities Fraud Charges
2017-10-13: VGTel Subject of SEC Lawsuit- Investors May Have Claims
2017-10-13: Summit Healthcare REIT Subject of $1.34 a Share Tender Offer
2017-10-12: Breitburn Energy Partners, L.P. Investors Win FINRA Arbitration Award
2017-10-12: Enervest Ltd. Private Equity Funds Plummet in Value
2017-10-11: Woodbridge Mortgage Fund Investors May Have FINRA Arbitration Claims
2017-10-11: Bakken and Coachman Private Placement Investors May Have FINRA Arbitration Claims
2017-10-11: SEC Alleges Fraud in Connection with Southern Energy Group/Black Gold Resources Oil Investment Scheme
2017-10-11: Variable Annuity Switching, Subject of FINRA Crackdown, May Signal Broker Abuses
2017-10-10: Senior Investors Often Targeted For Investment Fraud, New Survey Shows
2017-10-10: Investors in Business Development Corporation of America May Have Arbitration Claims
2017-10-10: Investors in CNL Growth Properties May Have Arbitration Claims
2017-10-10: Credit Nation/CN Capital Investors May Have Legal Claims
2017-10-06: Leon Vaccarelli of Waterbury, Connecticut Charged With Running Alleged Ponzi Scheme
2017-10-06: Astenbeck Master Commodities Fund II Investors May Have Arbitration Claims
2017-10-06: FINRA Focuses On Non-Traded Business Development Companies – Have You Lost Money In a Non-Traded BDC Such As Sierra Income Corporation?
2017-10-05: Investors in FS Energy and Power Fund May Have Arbitration Claims
2017-10-04: Investors in Strategic Realty Trust May Have Arbitration Claims
2017-10-04: Lightstone Value Plus REIT V and American Finance Trust Investors May Have Arbitration Claims
2017-10-04: KBS REIT I Investors May Have Arbitration Claims
2017-07-27: PROMESA Filing May Give Rise to Claims Against Puerto Rico Brokerage Firms
2017-07-27: Puerto Rico COFINA and PREPA Bonds May Give Rise to Investor Claims
2017-07-27: Private Placements- Know the Risks Before Investing
2017-06-01: LPL Fined by State of NH for Alleged Unsuitable REIT Sales
2017-05-23: Non-Traded REITs – Investors Should Proceed with Caution!
2017-05-22: State of Illinois Charges Thrivent Over Variable Annuity Switching
2016-10-13: Former NEXT Financial Broker Douglas P. Simanski Barred for Alleged Theft
2016-10-13: Platinum Partners Hedge Funds Under Scrutiny
2016-10-13: FINRA Fines Investors Capital Over Unit Investment Trust Sales
2016-10-06: FINRA Fines Merrill Lynch Over Sales of Strategic Return Notes
2016-10-06: SEC Fines UBS Over Sales of Reverse Convertible Notes
2016-10-06: FINRA Fines Investors Capital for Alleged Unsuitable UIT Sales
2016-10-03: Claimants Continue to File Arbitration Claims Involving Financial Preferreds
2016-02-19: 36 Oil and Gas Companies Filed For Bankruptcy In 2015
2016-02-19: Customer Complaints Made Against Broker Robyn H. Lee Regarding TICs
2016-02-19: Massachusetts State Authorities Investigate Realty Capital Securities (RCS)
2016-02-19: JP Energy Partners, L.P. Investments May Be Unsuitable For Some Investors
2015-12-09: Vanguard Funds File Suit Against VEREIT
2015-12-09: Reef Oil and Gas Investments May Give Rise To Investor Arbitration Claims
2015-11-18: Great Basin Scientific, Inc. Investigation
2015-11-18: Broker Robert Turpin Discharged By Source Capital
2015-11-17: Recommendations of United Mortgage Trust May Give Rise To Arbitration Claims
2015-11-17: Family Endowment Partners and Broker Lee Weiss Charged With Defrauding Clients
2015-11-17: Halcon Resources Investment Losses May Give Rise To Arbitration Claims
2015-11-17: Former LPL Financial Broker Garrett Aherns Sanctioned Over False Account Statements
2015-11-17: Questar Capital Broker Jeffery Mohlman Barred From Securities Industry
2015-11-10: Losses In Oil Linked Structured Notes May Give Rise To Arbitration Claims
2015-11-10: Former J.P. Turner Broker John Lopinto Is Subject Of Customer Complaints
2015-11-10: Van Eck International Investors Gold Fund Losses May Give Rise To Suitability Claims
2015-11-10: Atel Capital Equipment Fund IX Invstors May Have Arbitration Claims If Recommendations Were Not Suitable
2015-10-29: FINRA Suspends Newport Coast Securities Broker Lucian D. Hodgman
2015-10-29: Cambria Capital Broker Robert Potter Barred From Securities Industry
2015-10-29: Invetors May Have Possible Claims Concerning Direxion ETF Losses
2015-10-28: Customers File Complaints Against Broker Eric Wegner Over Tenant-In-Common Investments
2015-10-22: Former J.P. Turner Stockbroker Robert E. Gill Fined and Suspended From Securities Industry
2015-10-22: Lightstone Value Plus REIT Recommendations May Be Unsuitable
2015-10-21: Customers File Complaints Against First Financial Equity Broker John Schooler
2015-10-21: Broker Bennett Broad Barred From The Securities Industry
2015-10-15: FINRA Fines Santander Securities, LLC $6.4 Million For Supervisory Failures
2015-10-15: SEC Charges Financial Advisor Dawn Bennett With Inflating Assets and Exaggerating Returns
2015-10-15: John P. Jones Sanctioned By FINRA Over Unsuitable Private Placement Recommendations
2015-10-15: FINRA Charges Former J.P. Turner Broker Allen Goldberg With Fraud
2015-10-14: Former LPL Financial Broker Walter Chao Fined And Suspended Over Private Securities Transactions
2015-10-14: Investigation Concerning Mission Residential TICs and DSTs sold by Sigma Financial
2015-09-24: LPL Financial Settles With State Securities Regulators For Sale of Non-Traded REIT’s
2015-06-15: FINRA Sanctions Broker Daniel Grieco of First Allied Securities For Non-Traditional ETF Sales
2015-06-15: Unsuitable Recommendations Of Cushing Royalty & Income Fund Shares May Give Rise To Investor Claims
2015-06-15: Securities Consultancy Estimates That Non-Traded REITs Cost Investors $50 billion
2015-06-11: UBS Loses FINRA Arbitration Involving Puerto Rico Closed-End Fund (CEF)
2015-06-11: Inland American REIT Changes Name, Mackenzie Realty Offers $2 A Share In Tender
2015-06-10: Former Cadaret, Grant & Co. Broker Douglas William Findlay Suspended Over REIT Sales
2015-06-10: LPL Financial Fined $10 Million For Failure To Supervise Brokers
2015-06-10: FINRA Investigates Broker Christopher Veale’s Outside Business Practics Involving Legend Advance Funding (LAF)
2015-06-02: FINRA Sanctions OneAmerica Securities For Failure To Supervise Matthew Davis
2015-02-23: Ariel Hernandez, Former Liberty Partners Broker, Arrested For Alleged Theft From Customers
2015-02-23: Investors Over-Concentrated In Funds Exposed To Losses Due To Drops In Oil Prices May Have Viable Arbitration Claims
2015-02-17: FINRA Sanctions Popular Securities Over PR Municipal Bond Fund Sales
2015-02-17: Former Metlife Broker Derek Weaver Barred For Failure To Cooperate With FINRA Investigation
2015-02-04: FINRA Faults Sigma Financial’s Supervision of Stockbrokers
2015-02-04: Securities Lawyers Reviewing Investor Claims Involving ICON 11 and 12 and LEAF I-IV Leasing Funds
2015-01-13: State Securities Regulators Warn Of Prevalent Oil and Gas Investment Fraud
2015-01-13: Reuters Investigation Reveals Shocking Fail Rate Of Oil And Gas Investments Offered by Reef
2015-01-13: Unsuitable Recommendations Of Oil And Gas Royalty Trusts May Give Rise To Arbitration Claims S
2014-10-20: Ameriprise Broker Thomas Sharp Charged By FINRA With Misleading Communications Concerning Non-Traded REITs
2014-10-20: LPL Financial To Pay $541,000 To Settle Variable Annuity Switching Claim
2014-10-20: Former First Allied Broker Herbert Leonard Kaye Suspended By FINRA
2014-10-20: Kansas Broker Darrell W. Mikulencak Charged With Forgery
2014-10-20: Gambling Broker Donald Overbey, Jr. Sentenced for Defrauding Investors
2014-10-08: FINRA Disciplines Former VSR Financial Broker Steven L. Stahler Over Sales of REITs and Private Placements
2014-10-08: Former Raymond James Broker Jo Ellen Fisher Allegedly Set Up Client’s Account To Embezzle In Her Daughter’s Name
2014-10-08: FINRA Brings Suit Against Former Waddell & Reed Broker Jeffrey Meyer
2014-10-08: SEC Charges Admitted Criminal Broker With Stealing from Elderly & Blind Clients
2014-10-08: VSR Financial’s Alleged Lack of Supervision Leads to $3.74 Million Settlement
2014-10-07: FINRA Sanctions Broker Michael Zukowski for Recommending Unsuitable ETF Transactions
2014-10-07: FINRA Fines Minneapolis based Broker Feltl & Company for Inadequate Supervision Relating to Sales of Penny Stocks
2014-07-30: New York Brokerage Firm Newport Coast Securities, Representatives Charged with $1 Million Churning Violation
2014-06-24: Investor Files FINRA Arbitration Claim Against First Allied Regarding Private Equities
2014-06-19: FINRA Bars Wade James Lawrence from Financial Industry
2014-06-17: Ameriprise Told to Pay $1.17 Million to Elderly Couple after Unsuitable Real Estate Investment
2014-06-12: The Risk of Unregistered Investments like DCM Alpha Fund
2014-06-10: David Zeng, Most Recently of Merrill Lynch, is Barred from Financial Industry
2014-06-03: Supervisory Failure Leaves LPL Financial with Heavy Fines
2014-05-02: Equi-Vest, Accumulator Variable Annuity Investors Could Recover Losses
2014-05-01: Investors May Recoup Losses as SEC Charges Robert J. Vitale with Fraud
2014-04-29: More Claims Filed Against VSR Brokers for Unsuitable Alternative Investments
2014-04-24: Customers Could Recover Losses for Unsuitable MetLife Variable Annuity Recommendations
2014-04-22: ETF, ETN Investors Could Recover Losses
2014-04-17: Morgan Stanley Customers Could Recover Losses for Unsuitable Puerto Rico Bond Sales
2014-04-16: Pennsylvania Regulators Investigate Non-traded REIT Sales
2014-04-10: Two MetLife Brokers Accused of Unsuitable Variable Annuity Sales
2014-04-08: Have You Been the Victim of Investment Scalping?
2014-04-03: Claims Against Berthel Fisher for Unsuitable Sale of Alternative Investments Begin
2014-04-01: Unsuitable Alternative Investment Sales: LPL Customers Could Recover Losses
2014-03-27: Recovering Mortgage-backed Securities Losses
2014-03-25: Clients of 3 Rockwell Global Capital Financial Advisors Seek Damages for Churning, Unsuitable Recommendations
2014-03-20: Customers of James E. Neilsen Could Recover Promissory Note Losses
2014-03-18: Recent News Regarding Puerto Rican Bonds
2014-03-13: Berthel Fisher, Affiliate Fined Regarding Sales of ETFs and Non-traded REITs
2014-03-11: Investment Loss Recovery Regarding Florlena Cortez, Former Chase Broker
2014-03-04: Former VSR Financial Broker Allegedly Sold Unsuitable Alternative Investments
2014-02-27: Puerto Rico Investors Reportedly File Dozens of Cases Against UBS Financial Services of Puerto Rico Regarding Sales of Puerto Rico Closed-End Funds
2014-02-27: LaRue Customer Loss Recovery for Unsuitable Exchange-traded Fund Transactions Possible
2014-02-26: Número de inversionistas puertorriqueños entablando demandas incrementa
2014-02-25: Customers of Wade James Lawrence Could Recover Losses
2014-02-20: Have Your Loved Ones Been the Victims of Affinity Fraud?
2014-02-18: Oriental Financial Services Customers Could Recover Losses From Puerto Rico Closed-end Bond Funds
2014-02-11: Losses Mount as Puerto Rico Bonds Downgraded to Junk Status
2014-02-06: Icon Leasing Fund Investors Could Recover Losses
2014-02-04: Victims of Robert G. Bard Could Recover Losses
2014-01-28: Wells II/Columbia Investors May Have Claims If Advisors Made Unsuitable Recommendations
2014-01-28: Loss Recovery: REIT Investors Suffer Significant Losses in 2013
2014-01-28: Variable Annuities Unsuitable for Many Investors, Especially Retirees
2014-01-23: Las defensas anticipadas en el caso en contra de UBS por los fondos puertorriqueños
2014-01-23: Como UBS incumplió sus deberes fiduciarios al vender los bonos puertorriqueños
2014-01-21: Unsuitable ETF Sales Lead to Restitution for Investors
2014-01-16: New Research Indicates Investors Already Lost Billions in Puerto Rico Bond Funds
2014-01-15: Nuevos estudios estiman pérdidas de alrededor de $1.66 mil millones durante los primeros nueves meses de 2013
2014-01-13: Securities Regulator FINRA Fines Brokerage Firm Stifel, Nicolaus For Alleged Unsuitable Leveraged ETF Sales
2014-01-13: ¿UBS le cobró a los inversionistas de los fondos mutuos en exceso?
2014-01-13: ¿Incumplirá Puerto Rico sus obligaciones?
2013-12-31: LPL Broker Barred for Improper Non-traded REIT Sales; Customers Could Recover Losses
2013-12-26: Unsuitable Sales of Managed-futures Funds
2013-12-24: Two JP Morgan Brokers Barred by FINRA for Theft of $300,000 from Elderly Client
2013-12-19: Exchange-traded Fund Investors Could Recover Losses
2013-12-17: Clients of UBS’ David Lugo Could Recover Losses
2013-12-16: CRL Management, Charles R. Langston III Investors Could Recover Losses
2013-12-10: SEC Investigates Two Firms for Failure to Disclose or Obtain Permission for Principal Transactions
2013-12-05: Unsuitable Recommendation of Non-traded REITs and Other Unsuitable Investment Products
2013-12-03: Elderly Seniors Targeted for Financial Fraud
2013-11-28: UBS Willow Fund Allegedly Deviated from Strategy, Declined 80%: Investors Could Recover Losses
2013-11-27: Preguntas y respuestas sobre las pérdidas de los fondos de UBS PR
2013-11-27: Inversionistas en los fondos cerrados de UBS Puerto Rico podrían entablar demandas contra UBS
2013-11-26: Declining Credit Ratings More Trouble for UBS Puerto Rico Bond Investors
2013-11-25: ¿Habla español?
2013-11-21: Alleged Unsuitable Recommendations of Non-Traded REITs by Surevest, Others
2013-11-19: BBVA Securities of Puerto Rico Ordered to Pay $1.2 Million to Investors
2013-11-14: Customers of Wells Fargo Advisors, James Arnold Busch Could Recover Losses
2013-11-12: Merrill Lynch, Sentinel Securities Fined for Failure to Supervise
2013-11-07: Law Office of Christopher J. Gray Files Arbitration Claim on Behalf of UBS Puerto Rico Investor
2013-11-05: Oppenheimer, UBS, Fidelity Under Investigation Concerning Puerto Rico Bond Funds
2013-11-01: SEC Judge Decision In Ferrer Case Does Not Prevent Investors From Pursuing Claims Concerning UBS PR Closed-End Funds
2013-10-29: UBS Puerto Rico Fund Investors May Have Valid Arbitration Claims
2013-10-29: Massachusetts Orders $10.75 Million in Additional Restitution for Sales of Non-traded REIT
2013-10-24: SEC Charges ACI Capital Group Owner with Defrauding Investors
2013-10-22: Investors Could Recover Losses for Unsuitable Recommendation of Private Placements
2013-10-17: $7 Million Awarded to Investor in FINRA Auction-rate Securities Dispute
2013-10-10: Firm Fined for Allegations of Inadequate Supervision of Concentrated Client Positions in Alternative Investments
2013-10-09: Gray Firm Investigating Additional Claims Concerning UBS Puerto Rico Funds
2013-10-08: Recovery of Losses Sustained in Senior Secured Zero Coupon Notes
2013-10-03: Gray Firm Files FINRA Claim Concerning UBS Puerto Rico Fund Known As Puerto Rico Fixed Income Fund I
2013-10-03: UBS Allegedly Mislead CDO Investors, Ordered to Pay $50 Million by SEC
2013-10-01: Citigroup Held Liable for Investor Losses from Adviser’s Selling Away
2013-09-24: SEC Suspends 61 Companies as Possible Tools for Fraud
2013-09-19: Morgan Stanley Fined by FINRA
2013-09-17: Unsuitable Recommendations of Behringer Harvard Multifamily REIT I May Give Rise to FINRA Arbitration Claims
2013-09-12: Investigations into Unsuitable Sales of REITs, Variable Annuities by Royal Alliance Securities, LPL Financial Representatives
2013-09-10: Unsuitable Recommendation of ELKs Leads to Claims Against Citigroup
2013-09-05: Behringer Harvard REIT I is Now TIER REIT: New Name Doesn’t Solve Investor Problems
2013-08-27: Securities Arbitration Investigations Continue as FINRA Files Formal Complaint Against Thompson National Properties
2013-08-20: SEC to Discuss Uniform Fiduciary Standard Rule for Brokers
2013-08-19: Harbinger, Philip Falcone Agree To Fines and Bar of Falcone to Settle SEC Charges
2013-08-15: Investors Could Recover Losses for TNP-Sponsored Investments
2013-08-12: 15 Brokerage Firms Subpoenaed Over Alternative Investment Sales
2013-08-08: GenSpring Clients Could Recover Losses
2013-08-01: 100 Percent Principal Protected Note Investors Could Recover Losses
2013-07-30: Investors Could Recover ATP Oil and Gas Note Losses
2013-07-25: Wells Fargo Ordered to Pay Investor $2.8 Million
2013-07-23: Scottrade Fined for Alleged Failure to Supervise $8.4 Million in Sales of Unregistered Stock
2013-07-18: UBS Allegedly Made Unsuitable Recommendation of Lehman Structured Products
2013-07-11: Steadfast Income REIT Investors Could Recover Losses
2013-07-10: UPS Employees with Leveraged, Concentrated Positions Could Recover Losses
2013-07-09: Clients of Barry George Hartman, Rocky Mountain Financial, Could Recover Losses for Alleged Unsuitable Recommendations of REITs
2013-07-04: Merrill Lynch Fined for Agent’s Unsuitable Trading
2013-06-27: CommonWealth REIT Shareholders Asked to Remove Directors; Investors Could Recover Losses
2013-06-25: Customers of Wendy J. Worchester, TNP Securities Could Recover Losses
2013-06-20: JP Morgan Policy Allegedly Conflicted with Best Interest of Customers
2013-06-18: Investors Could Recover Losses for Unsuitable Recommendation of Floating-rate Bank Loan Funds
2013-06-13: Customers of Blake B. Richards, Ameriprise, LPL Could Recover Losses
2013-06-11: ProEquities Investors Could Recover Losses for Inappropriate Sale of Non-traded REITs
2013-06-04: Non-traded REITs: Five Firms to Pay $7 Million in Massachusetts Settlement
2013-05-28: American Capital Agency, American Capital Mortgage REIT Investors Could Recover Losses
2013-05-23: VSR Financial Services Customers Could Recover Losses
2013-05-22: Five Brokerages Fined $9.6 Million For Alleged Improper Non-Traded REIT Sales
2013-05-20: Gray Firm Files Arbitrations Against LPL Financial Alleging Unsuitable Sales of Non-Traded REITs
2013-05-17: CommonWealth REIT Reappoints Board Member Who Was Ousted In Shareholder Vote
2013-05-16: InnerWorkings Investigated for Breach of Fiduciary Duty, Federal Securities Laws Violations Following Per-share Price Plunge
2013-05-14: Broker-dealers’ Info Regarding Non-traded REITs is Inadequate, FINRA Says
2013-05-09: Securities Fraud: John Thomas Financial Investors Could Recover Losses
2013-05-07: Retirees Targeted for Excessive Trading, Unsuitable Recommendation of REITs
2013-05-02: Recovery of Success Trade Promissory Note Losses
2013-04-30: Recovery of Apple REIT Losses Still Possible Through Arbitration
2013-04-25: Morgan Stanley Broker Allegedly Traded on Customer Accounts without Permission
2013-04-23: REIT Investors May be Unaware They Suffered Significant Losses
2013-04-18: Ameriprise REIT Sales Under Investigation
2013-04-16: Investigations on Behalf of Cole Credit Property Trust III Shareholders
2013-04-11: Full-service Brokerage Firms Held Liable for Spousal Theft
2013-04-09: Securities Arbitration Alternative for Medical Capital Notes Victims
2013-04-04: LPL Financial Faces New Complaint Regarding Non-traded REIT Sales
2013-04-03: UPS Employees Could Recover Investment Losses
2013-03-28: Customers of Merrill Lynch, Phil Scott Group Could Recover Losses
2013-03-26: TNP Non-traded REIT Loss Recovery
2013-03-21: Firm May Be Liable for Actions of Tracy Morgan Spaeth
2013-03-19: Dividend Capital REIT Investors Could Recover Losses
2013-03-14: Credit Suisse Yield Enhancement Strategy Recommendation Under Investigation
2013-03-12: Hines REIT Investors Could Recover Losses
2013-03-07: Fromer Merrill Lynch and LPL Financial Advisor Greg Campbell Charged With Fraud
2013-03-05: CommonWealth REIT Announcement More Bad News for Investors
2013-02-28: Recovery of Grubb & Ellis REIT Losses Possible
2013-02-26: Paulson Hedge Fund, Full-service Brokerage Firm Feeder Fund Investors Could Recover Losses
2013-02-21: Hartford Floating Rate Fund Investors Could Recover Losses
2013-02-20: Gray Firm Wins Appeal Regarding Award of Attorney’s Fees Arising From $765,000 Arbitration Award Against Credit Suisse
2013-02-19: Clock Ticking on KBS REIT I Claims
2013-02-15: Investors in Equity Linked Structured Products Tied to Apple Could Recover Losses
2013-02-14: LPL to Pay Up to $2.5 Million to Settle Claims; Customers Continue to Explore Options
2013-02-05: More Trouble for TNP Strategic Retail Trust Inc. REIT, TNP 12% Notes Program
2013-01-31: Bambi Holzer Still Trading Despite Numerous Customer Complaints
2013-01-31: Losses Resulting from Unsuitable Recommendation of ETFs Could be Recoverable
2013-01-24: UBS Willow Fund Declines 80%, Investors Could Recover Losses
2013-01-22: CommonWealth REIT Investors Could Recover Losses
2013-01-17: Attorney Christopher Gray Interviewed By Lawyersandsettlements.com Concerning Non-Traded REIT Cases
2013-01-17: Full-service Brokerage Customers Who Were Overconcentrated in Citigroup Stock Could Recover Losses
2013-01-15: Behringer Harvard REIT I Share Price Cut Again
2013-01-10: Investor Recovers $1.38 Million from Morgan Keegan
2013-01-10: Inland American REIT Share Price Cut Again
2013-01-08: Longwei Petroleum Under Investigation for Allegedly Misleading Investors with False Financials
2013-01-02: Investor Sues Citigroup for $400 Million Lost in CSO Fund
2013-01-02: Cole Credit Property Trust II, Dividend Capital Total Realty Named in Complaints Against LPL Financial
2013-01-02: Wells Timberland REIT Share Price Cut 35%
2013-01-02: Investors of C-Tracks ETN Citi Volatility Index Total Return Could Recover Losses Through Securities Arbitration
2012-12-20: Massachusetts Regulator Sues LPL Financial Alleging Violations in Sales of Non-traded REITs
2012-12-13: Merrill Lynch Customers Could Recover Losses Over Hedge Funds, Fannie Mae Preferred Stock
2012-12-11: New York Attorney General Criticizes Mortgage-Backed Securities Activities of Credit Suisse and Wells Fargo
2012-12-03: CFTC Charges Online Betting Market Intrade With Violations of Commodities Exchange Act, seeks Refunds for Customers
2012-11-30: More Arbitration Claims Against Brokers, Firms in Inland Western REIT and KBS REIT I
2012-11-29: Mark Hotton Allegedly Defrauded Clients; Investors Could Recover Losses
2012-11-28: FINRA Now Arbitrating Claims Against Investment Advisers
2012-11-26: Clients of Jeffrey A. Cashmore, LPL Financial Could Recover Losses
2012-11-23: Clients of WR Rice, Joel Wilson Could Recover Losses
2012-11-22: FINRA Bars CEO; Victims of Unauthorized Trading Could Recover Losses
2012-11-21: Berton Hochfeld Charged with Securities Fraud, Allegedly Stole $1 Million from Investors
2012-11-19: Many Investors Victim to Lost, Stolen Securities Fraud
2012-11-16: FINRA Decision: David Lerner Associates to Pay $12 Million in Restitution to Customers for Unsuitable Sales of Apple REIT Ten
2012-11-15: Recovery of Whitestone REIT Losses
2012-11-14: SEC Charges Ray Lucia and Investment Firm RJL With Allegedly Misleading Investors
2012-11-14: Recovery of KBS REIT Losses
2012-11-12: Recovery of Desert Capital REIT Losses
2012-11-09: Recovery of Wells REIT Losses
2012-11-08: Recovery of CNL Lifestyle Properties REIT I Losses
2012-11-07: Recovery of Behringer Harvard REIT I Losses
2012-11-05: Recovery of Inland American REIT Losses
2012-11-02: Recovery of Dividend Capital REIT Losses
2012-11-01: Recovery of Behringer Harvard Opportunity REIT I Losses
2012-10-31: Behringer Harvard Multifamily REIT I Loss Recovery
2012-10-29: Recovery of Inland Western REIT Losses
2012-10-26: Fraud Victims of William T. Johnson Could Recover Losses
2012-10-25: Investors Allegedly Overcharged Customers $18.7 Million; Four Brokers Facing Charges
2012-10-24: Domin-8 Private Placement Investors Could Recover Losses
2012-10-22: Elderly Investors Targeted by Pennsylvania Financial Advisor
2012-10-19: Geneva Organization TIC Investors Could Recover Losses
2012-10-18: Layton Energy Wharton LP Investors Could Recover Losses
2012-10-17: First Midwest Securities, Scott & Stringfellow Customers Could Recover Losses
2012-10-15: Sanders Morris Harris, Fifth Third Securities Fined by FINRA
2012-10-11: Fidelity Customers Could Recover Losses
2012-10-10: FINRA Targets Non-traded REITs
2012-10-08: ProShares Investors Could Still Recover Losses Following Class Action Lawsuit Dismissal
2012-10-05: News: Arbitration Panel Rules in Favor of Investor, Citigroup to Pay $1.4 Million
2012-10-04: Advanced Equities Investors May Have Securities Arbitration Claim
2012-10-03: SEC Suspension Could Result in Investor Arbitration Claims
2012-10-01: Winex Investments LLC Investors Could Recover Losses
2012-09-28: TIC Investor Losses Could be Recovered in FINRA Arbitration
2012-09-27: Victim of Stephen B. Blankenship Fraud Could Recover Losses
2012-09-26: JP Turner Victims of Churning Could Recover Losses
2012-09-24: Lehman Brothers PPN Investors to Explore Every Option
2012-09-21: Customers of Ray Lucia Sr. Could Recover Losses Through Arbitration Following SEC Allegations
2012-09-20: JOBS Act for Hedge Fund Advertising Faces Criticism from Investor Protection Groups
2012-09-19: Louis V. Schooler, Western Financial Planning Accused of Investment Scam by SEC
2012-09-17: What Went Wrong with Dividend Capital REIT: What Many Investors Didn’t Know
2012-09-14: Cole Credit Property Trust II May be Following in the Footsteps of Other Non-traded REITs
2012-09-13: Investors in Icon Leasing Fund Eleven May Have Securities Arbitration Claim
2012-09-12: Victims of Clinton D. Fraley Could Recover Losses
2012-09-10: Dividend Capital REIT and Seven Other Non-traded REITs Suffer Significant Losses
2012-09-07: Defrauded Investors of James Ryan Lanier, Recently Arrested Merrill Lynch Financial Advisor, Could Recover Losses
2012-09-06: CNL Lifestyle Properties REIT Investors Could Recover Losses
2012-09-05: Behringer Harvard Strategic Opportunity Fund I Investors Could Recover Losses
2012-09-03: Mutual Fund Investors Could Recover Losses
2012-08-31: Victims of Lewis J. Hunter’s Fraud Could Recover Losses
2012-08-30: Unregistered Securities: Inofin Investors Could Recover Losses
2012-08-29: Investors Beware as Gas Prepayment Bonds Downgraded by Moody
2012-08-27: Retail Properties of America, Formerly Inland Western, Faces More Problems
2012-08-24: Charles Schwab, Fidelity Investors Who Opted Out of Class Actions Could Recover Losses Through Securities Arbitration
2012-08-23: Following KBS Class Action Withdrawal, Investors Can Still Recover Losses Through Arbitration
2012-08-22: Dividend Capital REIT Restructuring Could be a Sign of Trouble
2012-08-20: Investors of Highland Floating Rate Funds Could Recover Losses
2012-08-17: Investors of ArciTerra National REIT Could Recover Losses
2012-08-16: Penneco Drilling Associates Investors Could Recover Losses
2012-08-15: Private Placement Loss Recovery: Cypress Leasing
2012-08-13: Investors of Bradford Exploration, Bradford Drilling Could Recover Losses
2012-08-10: Recovery of Private Placement Losses: Mewbourne Oil
2012-08-09: Investors of Whitestone REIT Could Recover Losses
2012-08-08: SEC Charges Mizuho Securities USA; CDO Investors Could Recover Losses
2012-08-06: Investors of Chase Strategic Portfolio, other JPMorgan Chase Proprietary Mutual Funds Could Recover Losse
2012-08-03: FINRA Alert: Exchange-traded Notes
2012-08-02: Investors Beware: Structured Products Not Suitable for All Investors
2012-08-01: Woodlark Capital Investment Private Placement Investors Could Recover Losses
2012-07-30: Investors of ETR Pasco Fund II Private Placement Could Recover Losses
2012-07-27: Accoona Corp. Investors Could Recover Losses
2012-07-26: Dividend Capital Total Realty Trust Non-traded REIT Investors Could Recover Losses
2012-07-25: Investors of Patriot Minerals Private Placements Could Recover Losses
2012-07-23: News: David Lerner Associates to Face FINRA Panel in September
2012-07-20: Investors Could Recover Texas Energy Exoro Private Placement Losses
2012-07-19: NHB Holdings Investors Could Recover Losses
2012-07-18: TNP Strategic Retail Trust Investors Could Recover Losses
2012-07-16: Thompson National Properties 12 Percent Note Investors Could Recover Losses
2012-07-13: Elder Financial Abuse Targeted by CFPB
2012-07-12: News: New Pilot Program Launched by FINRA
2012-07-11: Victims of Bruce Harada Fraud Could Recover Losses
2012-07-09: Desert Capital REIT Investors Could Recover Losses
2012-07-06: Investors of Deutsche Bank Structured Products Could Recover Losses
2012-07-05: More Trouble for Investors of Behringer Harvard
2012-07-04: Broker Charged with Fraud Related to Astrology-based Investment Strategy
2012-07-02: Investors of Bank of America Structured Products Could Recover Losses
2012-06-29: News: Merrill Lynch Fined by FINRA
2012-06-28: Investors Beware Retirement Account Fraud
2012-06-27: Mountain V Oil and Gas Investors Could Recover Losses
2012-06-25: Paladin Realty Income Properties REIT, Wells REIT Investors Could Recover Losses
2012-06-22: Customers of Benjamin Daniel DeHaan Could Recover Losses
2012-06-21: Victims of Burton Douglas Morriss Fraud Could Recover Losses
2012-06-20: Arbitration Claim Filed Against Securities America for Churning
2012-06-18: Claim Against Stifel Nicolaus Could Mean More Arbitration Claims for Cardiac Network Promissory Note Investors
2012-06-15: FINRA Investor Alert: Beware Nutraceutical Stock Scams
2012-06-14: BNI Investors Could Recover Losses Through Securities Arbitration
2012-06-13: Investment Fraud Red Flags for Elderly Investors
2012-06-11: Is Healthcare Trust of America Following in Inland Western’s Footsteps
2012-06-08: Retired, Unsophisticated Investors Targeted Again: Brookstone Found Responsible
2012-06-07: Sun 1031 TIC Investors Could Recover Losses
2012-06-06: Fidelity Investors Could Recover Losses Resulting from Facebook Stock
2012-06-04: Possible Securities Arbitration Claims for David Lerner Associates Clients
2012-06-01: Pacific Cornerstone Faces More Problems; FINRA Arbitration Offers Hope for Investors
2012-05-31: Investors of SCI Real Estate Investment TICs Could Recover Losses
2012-05-30: Healthcare Trust of America Investors Could Recover Losses
2012-05-28: A & O Fraud Scheme Targets Retired Individuals; Investors Could Recover Losses
2012-05-25: TVIX ETF Investors Could Recover Losses
2012-05-23: Securities Arbitration Claims Could Help Inland Western Investors Recover Losses
2012-05-21: Inland American REIT Under SEC Investigation; Investors Could Recover Losses in Securities Arbitration
2012-05-16: Investors Could Recover Losses from Inverse ETF, ETN Investments
2012-05-14: The Problem with Non-traded REITs
2012-05-11: News: Lawsuit Against Morgan Keegan Regarding Auction Rate Securities Reinstated
2012-05-10: Investors of Lehman Return Optimization Security Note, Maluhia Eight Could Recover Losses Through Securities Arbitration
2012-05-09: Ameriprise Financial Investors Filing Claims Over REIT Losses
2012-05-07: KBS REIT I Investors Could Recover Losses
2012-05-03: RMC Medstone Capital Promissory Note Investors Could Recover Losses
2012-05-02: Investors Beware of Pre-IPO Fraud, Warns SEC
2012-04-30: REIT Investors: Don’t be Fooled by a New Name
2012-04-27: FINRA Cracking Down on Leveraged and Inverse ETFs
2012-04-26: News: SEC Bars Penny Stock Promoter
2012-04-25: Inland Western REIT Investors Could Recover Losses
2012-04-23: “Retirement Plan Management: Compliance, Reporting and Ethics” Author Charged with Fraud
2012-04-20: News: FINRA Fines Goldman Sachs Over ‘Trading Huddles’
2012-04-19: Broker Sentenced for Fraud; Investors Could Recover Losses
2012-04-18: Investors Who Sustained Losses as a Result of Retail Property of America Inc. REIT May Have Claim
2012-04-16: Wells Fargo Clients May Have Securities Arbitration Claim
2012-04-13: Investors Who Suffered Municipal Bond Losses May Have Valid Securities Arbitration Claim
2012-04-12: Investors of Odyssey Partnership, BGK Income, Opportunity Fund Could Recover Losses Through Securities Arbitration
2012-04-11: FINRA Fines David Lerner Associates
2012-04-09: Cornerstone Core Properties REIT Investors Could Recover Losses
2012-04-06: Improper Variable Annuity Sales Practices Lead to Fine, Restitution Order by FINRA
2012-04-05: News: Citi International Fined by FINRA for Excessive Markups, Markdowns
2012-04-04: Victims of LPL Financial Advisor Could Recover Losses
2012-04-02: Investors Could Recover American Investment Exchange Losses
2012-03-30: Victims of Former LPL Financial Representative, Arthur Lin, Could Recover Losses
2012-03-29: Promissory Note Scams: What You Need to Know
2012-03-28: Ziegler Healthcare Real Estate Fund Investors Could Recover Losses
2012-03-26: Shareholders of First Solar Could Recover Losses
2012-03-23: News: FINRA Fines, Enforcement Actions Up in 2011
2012-03-22: Investors of Triple Net TIC Could Recover Losses
2012-03-21: Investors of Guggenheim Shipping ETF Could Recover Losses Through Securities Arbitration
2012-03-19: Investors of Market Vectors Solar Energy ETF Could Recover Losses Through Securities Arbitration
2012-03-16: Investors’ Behringer Harvard Losses Could Be Recovered
2012-03-15: Investors of C-Tracks ETN Citi Volatility Index Total Return Could Recover Losses Through Securities Arbitration
2012-03-14: Is Your Broker a Psychopath?
2012-03-12: Investors of Mars CDO I Could Recover Losses Through Securities Arbitration
2012-03-09: Investors of Chase Floating Rate Loan Funds and UITs Could Potentially Recover Losses
2012-03-08: Investors of Reef Oil and Gas Partnership Could Recover Losses
2012-03-07: Investors Who Suffered Losses as a Result of W.P. Carey REIT May Have Valid Securities Arbitration Claim
2012-03-05: Stock Broker Misconduct: When Losses are the Result of Fraud
2012-03-02: News: FINRA Files Complaint Against Ex-broker
2012-03-01: FINRA Investor Alert: Inspecting Account Statements Helps Investors Detect Securities Fraud
2012-02-29: Investors Recovering TIC Investment Losses Through Securities Arbitration
2012-02-27: LPL Financial Investors of Direct Invest LLC May Be Eligible to Recover Losses Through Securities Arbitration
2012-02-24: News: Bank of America Faces More Allegations
2012-02-23: Fannie Mae, Freddie Mac Investors Could Recover Losses Through Securities Arbitration
2012-02-22: Bernoulli High Grade CDO-II Investors Could Recover Losses Through Securities Arbitration
2012-02-20: Lexington Capital CDO Investors Could Recover Losses Through Securities Arbitration
2012-02-17: Securities Arbitration May Be Better Path for UBS Lehman Brothers Investors
2012-02-16: Did You Purchase Lyon Capital CLO with Banc of America? You May Have a Securities Arbitration Claim
2012-02-15: Charles Schwab Charged with Violating FINRA Rules in Customer Agreements
2012-02-13: Broker Misconduct: Illegal Transfer of Funds Through Email Hacks
2012-02-10: Have You Been a Victim of Cold-call Stock Broker Fraud?
2012-02-09: Watch List Issued by FINRA
2012-02-08: After Securities Arbitration, Merrill Lynch Must Pay $1.4 Million to Investor
2012-02-03: Affinity Fraud Rears its Ugly Head… Again
2012-02-02: Citigroup’s Misconduct Comes to Light After Documents are Unsealed and Judge Refuses Request to Overturn FINRA Decision
2012-02-01: Have You Been the Victim of Stock Broker Fraud?
2012-01-30: Investment Attorneys Seeking Defrauded Investors Following Two Securities Arbitration Cases Against Merrill Lynch
2012-01-27: FINRA Awards Claimants More Than $9 Million
2012-01-26: CPI Corp. Shareholders May Have Valid Securities Arbitration Claim
2012-01-25: Securities Arbitration May be Only Choice for Defrauded Carlyle Group Shareholders
2012-01-23: FINRA Ruling: Citigroup Global Markets Fined $725,000
2012-01-20: Study Explores Connection Between “Overly Optimistic” Disclosures and Investor Claims
2012-01-19: Veolia Environment S.A. Investors May Have Claim
2012-01-18: SEC Warning: Social Media Fraud
2012-01-16: Investing with “Friends” Does NOT Protect from Fraud
2012-01-13: Investment News: “Accredited Investor” Net Worth Standard Definition Modified by SEC
2012-01-12: Investment Attorneys Seeking Victims of Self-Directed IRA Fraud
2012-01-11: Pacific Biosciences of California Investors Seeking Recovery of Losses
2012-01-09: Lloyds Banking Group Investors Could Recover Investment Losses
2012-01-06: FINRA Decision: Credit Suisse Fined $1.75 Million
2012-01-05: FINRA Decision: Barclays Capital Fined $3 Million
2012-01-04: Potential Loss Recovery for Weyerhaeuser Stockholders
2012-01-02: A Notice to the Clients of William Tatro
2011-12-30: Three Investment Advisers Defraud Investors: Millions Lost
2011-12-29: Have You Been a Victim of Fraud Because of Celebrity Trust?
2011-12-28: BNY Mellon Investors Seeking Investment Attorneys for Securities Arbitration Claims
2011-12-26: Variable Annuities and Variable Annuity Fraud
2011-12-23: FINRA Ruling: Wells Fargo Fined, Complaint Filed Against Chen
2011-12-22: SEC Issues Wells Notices to Harbinger Capital; Investors Seeking Representation
2011-12-21: Purchasers of China Automotive Systems Inc. May Have Valid Securities Arbitration Claim
2011-12-19: Allegations Against China Medical May Lead to Claims for Investors
2011-12-15: Investment Attorneys Seeking Victims of Inofin Fraud
2011-12-14: Customers of LPL Financial, Jack Kleck May Have Valid Securities Arbitration Claim
2011-12-12: Investment Fraud: Unregistered Securities
2011-12-09: Bank of America, JPMorgan, Morgan Stanley, Others Charged With Misleading Marketing
2011-12-08: Western Pacific Facing Charges of Hedge Fund Fraud
2011-12-07: Fake State Securities Commission Website Dupes Investors
2011-12-05: FINRA Ruling: Ten Individuals, Eight Firms Sanctioned
2011-12-02: Have You Been the Victim of Trading Seminar Investment Fraud?
2011-12-01: Investment Fraud: Selling Away
2011-11-30: Investment Fraud: Unauthorized Trading
2011-11-28: Wells Investment Securities Fined for Misleading Marketing
2011-11-25: Mutual Fund Fraud
2011-11-24: Merrill Lynch Pass-through Certificates
2011-11-23: Notice to MF Global Noteholders
2011-11-21: Chase Ordered to Pay $1.9 Million to Customers
2011-11-18: SEC Charges Dblaine Capital with Fraud
2011-11-17: A Notice to LaeRoc Income Funds Investors
2011-11-16: 2010 Saw 51 Percent Rise in Securities Fraud Enforcement Actions
2011-11-14: Morgan Stanley Fined $1 Million, Plus Restitution
2011-11-11: TICs Dangerous for Many Investors
2011-11-10: Investors Beware of Promissory Note Scams
2011-11-09: FINRA Rights Wrongs to Maintain Integrity
2011-11-07: Investor Education: How Stockbrokers Buy and Sell Stock
2011-11-04: FINRA Investor Alert: Taking Advantage of 401(k) Matching
2011-11-03: What is a “Rogue Trader?”
2011-11-02: Fraud Suit Settlement: Florida Man Must Pay $275,000
2011-11-01: Gray Firm Advises Investors of Possible Claims Arising From Implosion of MF Global
2011-10-31: Markets, Employees Scurry After Implosion of MF Global
2011-10-31: A New Tool for Investors: Securitized Product Tables Launched by FINRA
2011-10-28: FINRA Decision: UBS Securities Fined $12 Million
2011-10-27: Citigroup to Pay $285 Million for CDO Fraud
2011-10-26: Federal Appeals Court Decision May Undermine FINRA’s Authority
2011-10-24: Principal Protected Notes and the Lehman Brothers Debacle
2011-10-21: FINRA Supports ‘Joining Forces’ Initiative
2011-10-20: Advisers Make over $1.4 Billion from Bankrupt Lehman Brothers; Investors Get Back Twenty Cents on the Dollar
2011-10-20: Lehman Brothers, UBS and Wall Street Greed
2011-10-19: Your Nest Egg: Protect It With These Tips!
2011-10-17: SEC Proposes Revision of Rule That Will Reduce ABS Conflicts
2011-10-14: FINRA Decision: Merrill Lynch Fined $1 Million
2011-10-13: FINRA Investor Alert: Public Non-traded REITs
2011-10-12: Financial Adviser Roger Haigney under Investigation
2011-10-12: The Risks of Self-directed IRAs
2011-10-10: Research Center on the Prevention of Financial Fraud Launched by FINRA, Stanford University
2011-10-07: FINRA Ruling: Raymond James & Associates, Raymond James Financial Services to Pay Restitution, Fines
2011-10-06: Fisher Investments Reportedly Has Faced Multiple Arbitration Claims Alleging Over-Concentration in Stocks
2011-10-06: Not All Scams Can Be Identified As Being ‘Too Good To Be True
2011-10-05: Merrill Lynch Fined $1 Million For Ex-Broker’s Ponzi Scheme Run Out Of Merrill Office
2011-10-05: Social Networking Isn’t Safe for Investors
2011-10-03: Understanding Quant Trading and how Mathematicians are Affecting the Markets
2011-10-03: InvestorLawyers.net Handling Cases Against UBS Lehman Brothers Principal Protected Notes
2011-10-03: David Lerner Associates Accused of Sales Practice Violations Concerning Apple REITs
2011-10-03: Claimants Continue to Win Arbitration Claims Involving So-Called “Principal Protected” Notes Issued by Lehman Brothers
2011-09-30: Sentencing Passed on Stock-Tip Scam Mastermind
2011-09-29: Ex-Edward Jones Brokers Investigated for Marketing “GIBRALTAR PARTNERS” Alleged Ponzi
2011-09-29: Causes, Concerns and Consequences of Market Volatility
2011-09-28: Unsavvy Investors Aren’t the only Victims of Fraud
2011-09-19: The Truth About Insider Trading
2011-09-16: When They Say “BARRED,” They Mean It
2011-09-14: Lusby Wants to “Make Things Right” But Hides in Panama
2011-09-14: Insider Trading Lande Ex-Hedge Fund Trader in Prison
2011-09-12: FINRA Evaluating High Frequency Trading
2011-09-09: KHAN, BLUECHIP SECURITIES FINED BY FINRA
2011-09-08: EX-BROKER AND WEDBUSH INC. ORDERED TO PAY $2.9 MILLION
2011-09-07: FLORIDA FATHER JOINS CHILDREN IN PRISON AFTER FLEEING SENTENCING
2011-09-05: HONOLULU STOCK BROKER SENTENCED FOR FRAUD
2011-09-02: ENGLE, SCHUSTER SENTENCED IN NEBRASKA’S BIGGEST SECURITIES FRAUD CASE
2011-09-01: NJ ADVISER SENTENCED TO PRISON
2011-08-31: RESOURCES FOR INVESTOR PROTECTION
2011-08-29: FINRA ALERT: GOLD STOCKS
2011-08-26: FINRA RULING: BUNDA TO PAY FINES AND RESTITUTION
2011-08-25: FIDUCIARY DUTY: THE DIFFERENCE BETWEEN BROKERS AND ADVISERS
2011-08-24: FORMER STOCKBROKER CHIA SENTENCED TO PRISON FOR STEALING $2 MILLION FROM INVESTORS
2011-08-22: FINRA REVISES SUITABILITY RULE 2111
2011-08-17: THE SEC’S “OFFICE OF THE WISTLEBLOWER” OPENS
2011-08-16: SEC ADJUSTS RULE 205-3 FOR INFLATION: CHANGES EFFECTIVE SEPTEMBER 19
2011-08-14: CITIGROUP FINED $500,000 BY FINRA
2011-08-11: FINRA RULING: SUNTRUST ORDERED TO PAY $5 MILLION
2011-08-10: FINRA ORDERS UNITS OF MERRIL LYNCH TO PAY $8.1 MILLION
2011-08-09: SKY CAPITAL FOUNDER MANDELL AND BROKER HARRINGTON FOUND GUILTY
2011-08-07: SELEWACH SENTENCED TO 8-12 YEARS IN PRISON
2011-08-04: JANNEY SETTLES SEC CHARGES FOR $850,000
2011-08-03: FINRA RULING: EX-BROKER WILLIAM BAILEY SUSPENDED FOR TWO YEARS
2011-08-02: MARGULIES, EX-CEO OF INDUSTRIAL ENTERPRISES OF AMERICA, FOUND GUILTY
2011-07-31: JENNIFER KIM SETTLES SEC CLAIM
2011-07-29: THREE INVESTORS WIN $5.5 MILLION FROM NEUBERGER BERMAN
2011-07-27: EX-UBS EMPLOYEE KOBAYASHI CHARGED BY THE SEC
2011-07-26: STL BROKER SENTENCED FOR DEFRAUDING INVESTORS
2011-07-24: VICTIMS OF NOEL AND KLOSEK INVESTMENT FRAUD FINALLY RECEIVING PARTIAL RESTITUTION
2011-07-21: SECURITIES ARBITRATION FILED AGAINST JAMES J. ALBRIGHT, AIG
2011-07-20: INVESTMENT CHURNING: A SLIPPERY SLOPE OF BROKER MISCONDUCT
2011-07-18: JPMORGAN’S $211 MILLION SETTLEMENT CLOSE ON THE HEELS OF $154 MILLION SETTLEMENT
2011-05-25: CRUDE OIL DERIVATIVES TRADERS CHARGED WITH MANIPULATION OF NYMEX CRUDE OIL FUTURES DURING EARLY 2008
2011-05-03: DEADLINE TO OPT OUT OF RYE AND TREMONT CLASS ACTION IS MAY 11
2011-04-21: AMARANTH TRADER BRIAN HUNTER FINED $30 MILLION FOR ALLEGED MANIPULATION OF NATURAL GAS FUTURES
2011-04-13: FINRA FINES UBS OVER “100% PRINCIPAL PROTECTED” LEHMAN NOTES
2010-07-08: GRAY FIRM FILES CASE AGAINST HEDGE FUND MOORE CAPITAL ALLEGING MANIPULATION OF PRICES OF PALLADIUM AND PLATINUM
2010-07-08: GRAY FIRM, CO-COUNSEL FILE U.S. SUPREME COURT PETITION IN TITLE INSURANCE ANTITRUST CASE
2010-04-04: GRAY FIRM, CO-COUNSEL FILE SECOND AMENDED COMPLAINT CONTAINING SUBSTANTIAL NEW INFORMATION OBTAINED VIA INVESTIGATION IN AGAPE PONZI SCHEME CASE
2009-11-03: GRAY FIRM AND CO-COUNSEL FILE MOTION FOR CLASS CERTIFICATION IN AMARANTH COMMODITIES MANIPULATION CASE
2009-07-29: GRAY FIRM AND CO-COUNSEL FILE AMENDED COMPLAINT IN CASE CONCERNING AGAPE PONZI SCHEME
2009-05-03: COURT DENIES MOTIONS TO DISMISS CLAIMS IN AMARANTH COMMODITIES MARKET MANIPULATION CLASS ACTION
2009-05-03: GRAY FIRM FILES COMMODITIES FRAUD CLASS ACTION AGAINST ALLEGED PONZI PROMOTER NICHOLAS COSMO, BANK, BROKERAGES
2009-04-07: ALBANY, NEW YORK FINRA ARBITRATION PANEL ISSUES $39.8 MILLION AWARD IN FAVOR OF INSTITUTIONAL INVESTOR
2009-03-11: TITLE INSURANCE ANTITRUST CLASS ACTION FILED BY GRAY FIRM TRANSFERRED FROM BEAUMONT TO AUSTIN
2009-03-09: CHRISTOPHER J. GRAY ARGUES CLASS ACTION CASE AGAINST MORGAN STANLEY IN U.S. COURT OF APPEALS
2009-03-03: FINRA Raises Limit For Damages Claimed In Cases To Be Heard By A Single Arbitrator To $100,000
2009-02-06: CHRISTOPHER J. GRAY, P.C. FILES LAWSUIT AGAINST JP MORGAN CHASE ON BEHALF OF BEAR STEARNS OPTIONS INVESTOR
2009-02-06: FRAUD INVESTIGATOR PUBLICLY MOCKS SECURITIES REGULATORS SEC AND FINRA IN HEARING BEFORE U.S. CONGRESS

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