Call Now for a Free Consultation
(888) 637-5510

Tag: churning lawyer

Securities Fraud

Barclays Capital to pay $16.5 million for Failure to Supervise

Barclays Capital Failure to Supervise According to an SEC press announcement this week, Barclays Capital will pay more than $16.5 million...

Read More

Current Investigations

Former Advisor Demitrios Hallas Under Investigation by the SEC

SEC Investigates Demitrios Hallas for Unsuitable investments Have you suffered losses investing with former financial advisor Demitrios...

Read More

Current Investigations, Securities Fraud

Dawn Bennett Ordered to Pay $4 Million by the SEC

Recovery of Investment Losses with Dawn Bennett Former investment adviser Dawn Bennett must pay nearly $4 million for inflating assets and...

Read More

Securities Fraud

New FINRA Rule Protecting Seniors from Financial Abuse

SEC approves new FINRA rule designed to protect seniors from financial exploitation. Will firms follow through? The US Securities and...

Read More