This post summarizes recent enforcement actions against stockbrokers. You may be able to recover your money if you suffered losses as a result of investment fraud, unregistered offerings of securities, excessive trades, unauthorized trades, bad investment advice (suitability rules), or broker misconduct. Kevin Cline, Robert Burr, Vincent Christopher & Thomas Gilleland – Source Capital Group Kevin […]
22 Year Sentence Upheld In Hollywood Investment Fraud Case
There is a popular perception that courts simply give white collar fraudsters a slap on the wrist – a quick court appearance in the afternoon and then home in time for dinner. While we believe that the government hasn’t prosecuted enough criminal fraud cases against the big banks and Wall Street, federal judges do hand […]
Lincoln Financial Advisors Rep Sanctioned By FINRA
Lincoln Financial Advisors says it wants to be the country’s “premier fee-based financial planning firm.” A recent decision by the Financial Industry Regulatory Authority’s (FINRA) Enforcement Department suggests that the firm is off to a rocky start. FINRA sanctioned former registered rep and investment advisor William Babb III with “trading away” and failure to cooperate […]