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Posts Tagged Wisconsin stockbroker fraud lawyer

Senator to SEC: Strengthen Stockbroker Fraud Rules

Following a recent expose in the Wall Street Journal, Massachusetts Senator Edward Markey called on the Securities & Exchange Commission to strengthen FINRA’s ability to fight stockbroker fraud. (FINRA is the Financial Industry Regulatory Authority, a self regulatory organization that derives its enforcement powers from the SEC.) The Journal reported that over 5000 stockbrokers are [...]

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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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Zombie Stockbrokers – Land of the Living Dead – Stockbroker Fraud Post

by Brian Mahany Zombie horror is quite the rage these days in the entertainment industry. Movies, TV shows… even my local Barnes & Noble retailer has an entire section of books devoted to the living dead. While the zombies in the entertainment industry are imaginary, debarred stockbrokers and investment advisers really do come back from [...]

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FINRA Arbitration Panel Slams Oppenheimer For Churning Customer’s Account

by Brian Mahany Although the stock market has been doing relatively well in recent months, not everyone makes money. For every winner there is a loser. For retired Texan Lloyd Gillespie, he was the big loser while Oppenheimer and his brokers were the winners. An arbitration panel from the Financial Industry Regulatory Authority (FINRA) agreed [...]

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Four Stockbroker Giants Fined Millions For Selling Risky Investments

by Brian Mahany Everyday we seem to encounter another story of a big bank doing something wrong. Often it has to do with mortgage lending and foreclosure practices. Sometimes it involves helping Ponzi scheme fraudsters hide their crimes. Today’s story involves Citi, Wells Fargo, UBS and Morgan Stanley and their sale of risky investments. According [...]

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FINRA Notifies Brokers of “Heightened Supervision of Complex Products”

by Brian Mahany The Financial Industry Regulatory Authority issued a formal notice to stockbrokers earlier this week. The notice (12-03) advises of “heightened supervision” of complex financial products and echoes what we have said for years; don’t buy something if your broker can’t explain or you don’t understand it! FINRA defines a complex product as [...]

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