Tag: securities fraud attorney
The SEC & the Government Shutdown
How is the Government Shutdown Affecting the SEC? As you surely know by now, thousands of workers have been furloughed as a result of the...
Dennis Allen Hayes – Broker Investigation
FINRA Complaint Alleges Dennis Allen Hayes was “Selling Away” According to FINRA, the regulator’s Department of Enforcement has filed...
Jerry Wayne Simpson Indicted on Fraud Charges
Concerned about your investments with Jerry Wayne Simpson? According to news reports, between March 2016 and October 2017, former financial...
John Greg Schmidt Arrested for Fraud Scheme
John Greg Schmidt – Securities Fraud Investigation According to news reports last week, former financial advisor John Greg Schmidt...
Financial Advisor Fees – Are you paying too much?
Financial Advisor Fees According to a recent article on Yahoo Finance, more than one in five investors don’t know what they pay...
Essential Investor Tips for 2019
FINRA – Essential Investor Tips for 2019 The Financial Industry Regulatory Authority (FINRA) just released an Investor Alert on...
