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Posts Tagged how do I sue a stockbroker

Affinity Fraud? SEC Charges Broker in Alleged $4.7 Million Ponzi Scheme

The Securities and Exchange Commission charged Larry Dearman Sr, an investment advisor working for Focus Group Advisors, with defrauding dozens of investors between 2008 and 2012. They say that many victims entrusted him with their savings because of his affiliation with a small town Oklahoma church. According to published reports, Dearman at one time served [...]

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Anderson Scott Hall Faces New Charges In Abaco Securities Scam

In June we wrote about Anderson Scott Hall, head of Abaco Securities International. At the time, Hall was awaiting trial on 20 counts of wire and mail fraud. Prosecutors say he bilked millions of dollars from teacher and school district employees near Jacksonville, Florida. Hall’s case was scheduled for trial in August but a federal [...]

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FINRA Issues Warning On Nontraded REITs – Stockbroker Fraud Post

by Brian Mahany We have written several times about the dangers of nontraded or thinly traded REITs. They are a popular way of investing in real estate but they can be difficult to sell or liquidate if an investor suddenly needs cash. There are other potential pitfalls as well. This week the Financial Industry Regulatory [...]

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Stockbrokers Dont Want To Air Dirty Laundry – Stockbroker Fraud Post

by Brian Mahany We are firm believers in full and complete disclosure. Americans are smart enough to understand that not every complaint against a stockbroker is legitimate. Many complaints are unfounded or frivolous. But as customers and clients, we should have the right to know if other complaints are pending against a broker. Under a [...]

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“Should I Stay or Should I Go” – FINRA’s New Suitability Rules (Stockbroker Fraud)

by Brian Mahany “One day is fine, next is black So if you want me off your back Well come on and let me know Should I stay or should I go? … If If I go there will be trouble An if I stay it will be double… Should I stay or should I go…” [...]

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John Thomas Financial Under Watch – Again! (Stockbroker Fraud Post)

by Brian Mahany From the outside, John Thomas Financial appears to be a pretty respectable place. It’s main office is located at 14 Wall Street, a high rent building across the street from the New York Stock Exchange. It’s president, Anastasios ”Tommy” Belesis, has been seen with former New York Mayor (and U.S. Attorney) Rudolph Guiliani. There [...]

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Merrill Lynch Loses Appeal of FINRA decision – stockbroker fraud post

by Brian Mahany Chalk up another victory for the good guys. Over a year ago, we were quite excited when an arbitration panel for the Financial Industry Regulatory Authority – FINRA – issued a $64 million decision against Bank of America subsidiary Merrill Lynch Professional Clearing Corp. The euphoria was short lived as ML immediately appealed [...]

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The Prophecies Of Doom – Bank And Investment Fraud In 2013

by Brian Mahany On December 21st, I attended an outdoor doomsday party in New Orleans. The promoters anticipated 10,000 revelers for the big event. My guess is that 500 showed up. Evidently, not many people thought the world was ending or if they did, they found better ways of celebrating than drinking beer in New [...]

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The Forgotten Investor (Protecting Investors From Fraud)

by Brian Mahany The headline in today’s Wall Street Journal reads “Insider – Trading Probe Widens.” Further down on the front page in smaller type is an article titled, “For Many Financial Advisers, Stocks Become A Hard Sell.” Is it any wonder why? While the Dow Jones Industrial Average is sitting at 13,200 this morning, [...]

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