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Securities Fraud

Blog, Current Investigations, Securities Fraud

Ex-Morgan Stanley Advisor Shawn Good Allegedly Defrauded Investors out of $7 Million 

Advisor Shawn Good of Wilmington, NC Reportedly Pleads Guilty to Fraud Scheme, Faces 30 Years in Prison  A former financial advisor in...

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Blog, Current Investigations, Securities Fraud

Jeffrey Basford, David Lerner Associates, Barred after Allegations of Unsuitable Investments 

David Lerner Advisor Jeffrey Basford Allegedly sold Unsuitable Energy Investments to Clients  According to the Financial Industry...

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Blog, Current Investigations, Securities Fraud

MML Advisor Amanda Berry Allegedly Misappropriated Client Funds  

MML Investor Services Advisor Amanda Berry of Oklahoma City Reportedly barred after Allegations of Investment Fraud    According to an...

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Blog, Current Investigations, Securities Fraud

SEC Bars Arthur Hoffman after Allegations of Fraudulent Crypto Scheme

Art Hoffman, of Ameriprise Financial, Allegedly Defrauded Clients in connection with Zima Digital Assets   The Securities and Exchange...

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Blog, Current Investigations, Securities Fraud

Ex-LPL Advisor James Couture Pleads Guilty to Stealing $2.8 Million from Six Clients 

James Couture, LPL Advisor, Faces 20 years in Prison for Defrauding Investors  According to a press announcement on September 8, 2022,...

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Blog, Securities Fraud

FINRA Fines Bank of America Securities $5M for Reporting Failures 

FINRA says BofA Securities Failed to Report Over-the-Counter Options Positions in More Than 7.4 Million Instances  According to a press...

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