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Securities Fraud

Blog, Securities Fraud

FINRA “Statute of Limitations”  

How long do I have to file a FINRA Claim?  If you have suffered significant losses investing with your financial advisor or broker, you...

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Blog, Securities Fraud

FINRA Rule 12206 Eligibility

Do I still have time to file a FINRA Claim?  The time to file a claim for purposes of FINRA eligibility does not always run from the date...

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Blog, Current Investigations, Securities Fraud

Caz Craffy Barred after Allegations of OBAs 

FINRA Reportedly Bars Caz Craffy for Failure to Provide Testimony in its Investigation  According to a Letter of Acceptance Waiver and...

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Blog, Current Investigations, Securities Fraud

Robert Turner Barred after Allegations of Million-dollar Fraud

Robert Earl Turner, Jr., Waco, Texas, Barred from Securities Industry  According to a Letter of Acceptance Waiver and Consent on January...

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Blog, Securities Fraud

SEC Investigating RIAs over Crypto-Asset Custody 

The SEC is Reportedly Investigating Registered Investment Advisors (RIAs) re Rules for Crypto-assset Custody  The Securities and Exchange...

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Blog, Current Investigations, Securities Fraud

Anthony “Tony” Liddle Allegedly Defrauded 13 Advisory Clients  

SEC Charges Anthony Liddle with Defrauding investors of $1.9 Million  According to a litigation release on January 24, 2023, the...

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