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Posts Tagged investment adviser fraud

Half of Americans Can’t Spot Fraud – Investment Fraud Post

When I read a headline today in InvestmentNews that said “Financial Fraud is Rampant but Most People Can’t Spot It,” I wasn’t surprised. Because we only handle investment fraud cases with losses of $100,000 or more, most of our clients are savvy, sophisticated men and women. We have represented lawyers, doctors and bank vice presidents. [...]

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Investment Fraud – “Guaranteed Returns” Was Really a Scam

Every week we hear about people who gave money to a promoter offering “guaranteed returns.” About the only thing guaranteed is the loss of all or most your money. Unless you are putting money into government savings bond, nothing is guaranteed. (Many of our readers would question the safety of savings bonds!) One of the [...]

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Securities America Fined For Improper Supervision – Stockbroker Fraud Post

Securities America is a large broker dealer headquartered in La Vista Nebraska. Licensed in all 50 states and in business for over 3 decades, the firm is well established in the industry. Lately, however, it has attracted some negative attention for its business practices. Some say the company has allowed or ignored fraud by some [...]

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Justice Delayed – The Story Of Anderson Scott Hall & Abaco Securities

From 2006 through 2011, Anderson Scott Hall and the company he ran, Abaco Securities International, were household words in Jacksonville, Florida. Abaco conned many Duval County teachers and administrators into turning over their hard earned savings. Prosecutors say millions in savings. Hall’s clients were promised stable, secure investment returns from 6 to 18%. Instead of being invested, [...]

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LPL Broker Charged With Securities Fraud

Less than 24 hours ago we wrote a story about securities fraud and the need for brokerage firms to protect clients against advisers who rip off clients by “selling away.”  Today the SEC announced it charged a former LPL stockbroker, Blake Richards, with securities fraud after accusing him of stealing $2 million in client funds. [...]

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Mike Tyson Sues Investment Advisor – Celebrity Fraud Post

by Brian Mahany We have seen this headline far too many times, former star athlete or musician accuses agent or stockbroker of fraud. Although fraud occurs daily in our life, it makes headlines when a celebrity is the victim. Unfortunately, because of their celebrity status, many athletes, actors and musicians find themselves the target of [...]

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December 11th, A Date That Will Live In Infamy – Investment Fraud Blog Post

by Brian Mahany History buffs will remember President Roosevelt’s famous speech after the bombing of Pearl Harbor. He started that speech by saying, “Yesterday, December 7th, 1941, a date that will in infamy…” He went on to inform a shocked nation about the surprise attack on Pearl Harbor. A little more recently, December 11th has [...]

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What Does It Take To Become A Stockbroker? Apparently Nothing!

by Brian Mahany Most of our stockbroker fraud stories involve investment advisers failing to perform due diligence, stockbrokers making unsuitable recommendations, churning of accounts or failures to disclose conflicts of interest.  Not this story.  This week the SEC says Anthony Fields, along with his two “companies” Anthony Fields & Associates and Platinum Securities Brokers, simply [...]

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Investment Adviser or Stockbroker? There is a Difference!

by Brian Mahany Most people do not know the difference between a registered investment adviser and a stockbroker. In fact, most people don’t know even know the title of the person they rely on for their investment advice. As long as they receive solid advice, customers remain quite content. There is a big difference, however. [...]

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