Publications
Wall St. Cheat Sheet: Is Your Broker Churning Your Investment Account?
Financial Professionals are like any profession – there are good ones and there are bad ones. As long as financial advisors are compensated by commissions, some of the unscrupulous ones will continue to attempt to enrich themselves by excessively trading accounts…
The Bond Buyer:
On Tuesday, White Law Group filed an arbitration case with FINRA for a single investor claiming more than $450 million in losses. The firm claims UBS engaged in fraud, breach of fiduciary duty, negligence, and negligent supervision, according to a press release…
Wall St. Cheat Sheet: Troubling Trend
As a securities attorney who represents investors in claims against brokerage firms, I have noticed a recent trend that is troubling — a recent push by brokerage firms to cover up the misdeeds of their brokers…
Kiplinger: Beware These 5 Problematic High-Yield Investments
When Pat Conway invested the majority of his life’s savings a few years ago in two non-traded real estate investments, he thought he had secured his retirement once and for all. Behringer Harvard Short-Term Opportunity Fund and Behringer Harvard REIT I yielded 3% and 7%, respectively. Moreover, his broker vowed that double-digit capital appreciation would surely follow…
Association of Certified Financial Crime Specialists
Earlier this month, Illinois became the second state ever to be the target of a cease and desist order from the US Securities and Exchange Commission for fraud related to its state-backed securities…
Phoenix Business Journal: Phoenix REITs
A Phoenix-based company is tangled in a Massachusetts securities investigation in which regulators slapped a large brokerage with a lawsuit last week, claiming dishonest and unethical business practices in dealing with real estate investment trusts…
