Investor Lawyers Blog

According to investment fraud lawyers, the Financial Industry Regulatory Authority (FINRA) will bring enforcement cases related to the selling of exchange-traded funds (ETFs) that were not appropriate for customers, against certain brokerages. Bradley Bennett, FINRA’s enforcement chief, said this month that the cases will involve leveraged and inverse exchange-traded funds, and the unsuitable sales of…

On April 10, 2012, the United States Securities and Exchange Commission (SEC) announced its decision to enjoin Timothy Page of Malibu, Calif., Ryan Reynolds of Dallas, Phillip Offill Jr. of Dallas, Steven Fischer of Bonita Springs, Fla., Page Properties LP, RSMR Capital Group Inc. and ATN Enterprises LLC from violating Section 5 of the Securities…

According to securities arbitration lawyers, investors who suffered losses as a result of their investments in the Inland Western REIT may have a valid securities arbitration claim. As a result of the company’s recent move to go public, for the first time, investors have had the opportunity to evaluate, at a publicly set price, the…

Recently, Matthew D. Hutcheson, a financial advisor and radio personality, reportedly was indicted on federal charges. Investment fraud lawyers say Hutcheson, who is well known in the securities industry, has been indicted for funding his home renovations and purchasing interest in a golf and ski resort with his clients’ retirement plan funds. Hutcheson authored the…

According to an announcement on April 12, 2012, from the Financial Industry Regulatory Authority (FINRA), Goldman Sachs & Co. has been fined $22 million for “failing to supervise equity research analyst communications with traders and clients and for failing to adequately monitor trading in advance of published research changes to detect and prevent possible information…

Former securities broker Gregory Bartko has been found guilty of fraud and sentenced to 23 years in prison. Allegedly, Bartko defrauded 200 investors in a scheme that took $3.3 million from his clients. Bartko’s sentencing took place April 4 in the Federal District Court in Raleigh, North Carolina. According to stock fraud lawyers, Bartko’s victims…

According to securities arbitration lawyers, investors who sustained losses as a result of Retail Properties of America Inc. Real Estate Investment Trust (REIT) may be able to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration. Formerly known as Inland Western REIT, Retail Properties of America is the third-largest shopping center REIT in the nation.…

According to stock fraud lawyers, clients of Wells Fargo Advisors LLC may be able to recover losses through Financial Industry Regulatory Authority arbitration. A claim was recently filed with on behalf of a Wells Fargo client because of the sales practices of one or more of its brokers. Allegedly, the client suffered significant losses, which…

Investment fraud lawyers are investigating potential claims on behalf of investors who suffered losses as a result of municipal bond purchases. Two of the bonds currently being investigated are the TW Tax Advantage Fund and Harrisburg. The TW Tax Advantage Fund, created by First Republic Investment Management, is a complicated, high-risk municipal arbitrage bond. Investment…

Investment fraud lawyers are investigating certain private placements in potential securities arbitration claims. Two of these private placements are the BGK Income and Opportunity Fund. Allegedly, some of the broker-dealers that recommended these private placement investments could be liable for investor losses. Because of the high commission paid by private placements (often as high as…