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Blog, Securities Fraud

Financial Fraud Often Aimed at Seniors

According to Jennifer Levitz’s May 19, 2009 article in the Wall Street Journal, “Laws Take on Financial Scams Against Seniors,”...

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Blog, Securities Fraud

Investor Tools

Whether or not you knew it at the time you established your brokerage account, virtually every new account agreement with a broker-dealer...

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Blog, Securities Fraud

8th Circuit Addresses Scope of Fiduciary Duty

A panel of the 8th Circuit Court of Appeals addressed the scope of the fiduciary imposed on advisors of mutual funds by the Investment...

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Blog, Securities Fraud

SEC Charges Madoff Auditors

The SEC charged the auditors of Bernard Madoff’s broker-dealer firm with committing securities fraud by representing that they had...

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Blog, Securities Fraud

Merrill Lynch Ok’s funeral trust deal

Merrill Lynch & Co. has agreed to pay $18 million to end a State of Illinois investigation into its role in the erosion of a trust that...

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Blog, Securities Fraud

Wall Street Firms Still Preoccupied with Big Sales

Lest you believe that Wall Street has changed its stripes, and is now in the business of financial advising and consulting rather than...

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