Archives

2020-05-26: Updated: 2020-05-26 19:29:28 Citigroup Global Markets fined $160,000 for failure to report to OATS™

By Blum Law Group

2020-05-13: Updated: 2020-05-13 14:57:53 Wells Fargo To Pay 3 Billion Dollar Fine Over Fake Accounts Fraud

By Blum Law Group

2020-04-30: Updated: 2020-04-30 15:59:50 Class-Action Lawsuit filed Against Wells Fargo for Allegedly Manipulating Paycheck Protection Program Applications

By Blum Law Group

2020-04-22: Updated: 2020-04-22 20:01:00 Dash Financial Technologies Censured and Fined $90,000 by FINRA

By Blum Law Group

2020-04-10: Updated: 2020-04-10 18:21:08 Citigroup Global Markets Inc. Fined $225,000 by FINRA

By Blum Law Group

2020-04-02: Updated: 2020-04-02 18:06:05 Wells Fargo Advisors Fined $225,000 and Censured by FINRA

By Blum Law Group

2020-03-31: Updated: 2020-03-31 15:38:34 Merrill Lynch, Pierce, Fenner & Smith Incorporated Fined $150,00 by FINRA

By Blum Law Group

2020-03-27: Updated: 2020-03-27 17:05:14 Jorge A. Reyes fined $4 Million and Banned by FINRA

By Blum Law Group

2020-03-26: Updated: 2020-03-26 16:55:47 Wilson-Davis & Co., Inc., Byron Bert Barkley and James C. Snow Jr. Fined $1.1 Million by FINRA

By Blum Law Group

2020-03-26: Updated: 2020-03-26 16:56:40 FINRA Fined Samuel Lek $900,000 and Permanently Barred

By Blum Law Group

2020-03-26: Updated: 2020-03-26 16:49:05 Nomura Securities International, Inc. Fined $300,000 and Censured by FINRA

By Blum Law Group

2020-03-24: Updated: 2020-03-24 15:29:55 Coronavirus Negligence by Stockbrokers

By Blum Law Group

2019-03-07: Updated: 2019-03-07 12:42:02 FINRA Suspends Brian J. Hussey Jr. for Seven Months

By Blum Law Group

2019-02-07: Updated: 2019-02-07 12:06:08 FINRA Charges Broker with Fraud and Unlawful Distribution of Unregistered Cryptocurrency Securities

By Blum Law Group

2019-01-24: Updated: 2019-01-24 10:44:27 FINRA Fines and Suspends VanLandingham

By Blum Law Group

2019-01-15: Updated: 2019-01-15 13:05:34 FINRA Fines and Suspends Lowe for Nine Months

By Blum Law Group

2018-12-27: Updated: 2018-12-27 14:41:10 Bernard McGee Barred and Order to Pay Restitution

By Blum Law Group

2018-11-30: Updated: 2018-11-30 09:11:19 Daniel N. Winger Barred by FINRA

By Blum Law Group

2018-11-15: Updated: 2018-11-15 09:16:54 Brian Stephan Named Respondent in FINRA Complaint

By Blum Law Group

2018-11-08: Updated: 2018-11-08 10:20:05 FINRA Complaint Filed Against John W. Cutshall

By Blum Law Group

2018-10-25: Updated: 2018-10-25 09:49:26 McCoy Fined and Barred by FINRA

By Blum Law Group

2018-10-18: Updated: 2018-10-18 12:19:50 Preston Suspended by FINRA

By Blum Law Group

2018-09-24: Updated: 2018-09-24 10:24:53 Harold Connell of CP Capital Securities Barred and Expelled by FINRA

By Blum Law Group

2018-09-13: Updated: 2018-09-13 10:22:17 Allan Suspended by FINRA and order to pay Disgorgement

By Blum Law Group

2018-08-30: Updated: 2018-08-30 10:52:06 Swingle Fined & Suspended for Borrowing Money from Clients for Gambling Debt

By Blum Law Group

2018-08-28: Updated: 2018-08-28 10:25:29 Anastos Suspended for Four Months

By Blum Law Group

2018-08-09: Updated: 2018-08-09 10:05:23 Richard Foster Fined and Suspended for Six Months

By Blum Law Group

2018-08-06: Updated: 2018-08-06 09:30:38 Parker Fined & Suspended by FINRA

By Blum Law Group

2018-07-26: Updated: 2018-07-26 10:11:42 Eckstein Named as Respondent in FINRA Complaint

By Blum Law Group

2018-07-19: Updated: 2018-07-19 14:08:36 Craig E. Walker Barred by FINRA

By Blum Law Group

2018-07-12: Updated: 2018-07-12 13:07:40 Kaplan Barred for Churning and Unsuitable Excessive Trading by FINRA

By Blum Law Group

2018-07-05: Updated: 2018-07-05 11:40:40 Meier Barred by FINRA

By Blum Law Group

2018-06-07: Updated: 2018-06-07 11:21:38 LaMarre Fined and Suspended for Unsuitable Recommendations

By Blum Law Group

2018-05-25: Updated: 2018-05-25 10:45:21 Degner Fined and Suspended by FINRA

By Blum Law Group

2018-05-17: Updated: 2018-05-17 15:45:13 Lawrence J. Fawcett Jr. Fined and Suspended by FINRA

By Blum Law Group

2018-05-11: Updated: 2018-05-11 11:08:24 Moscoso Barred by FINRA

By Blum Law Group

2018-04-30: Updated: 2018-04-30 13:49:21 US Court of Appeals Upholds SEC Decision to Barr Talman A. Harris

By Blum Law Group

2018-04-26: Updated: 2018-04-26 09:06:40 Larry Boggs Barred by FINRA

By Blum Law Group

2018-04-19: Updated: 2018-04-19 10:56:09 OHO Issues Decision regarding David O. Braeger

By Blum Law Group

2018-04-12: Updated: 2018-04-12 12:27:32 FINRA Fines and Suspends Jeffrey Kinder for 15 Months

By Blum Law Group

2018-04-05: Updated: 2018-04-05 10:40:57 FINRA Fines and Suspends Shotz

By Blum Law Group

2018-03-29: Updated: 2018-03-29 09:54:50 FINRA Fines and Suspends Michael N. Guifoyle for 10 months.

By Blum Law Group

2018-03-22: Updated: 2018-03-22 09:54:52 Herauf Terminated from Edward Jones due to FINRA Allegations

By Blum Law Group

2018-03-15: Updated: 2018-03-15 10:57:48 FINRA Suspends and Fines Brenton L. Bataille

By Blum Law Group

2018-03-13: Updated: 2018-03-13 11:09:39 Hank M. Werner Suspended, Fined, and Ordered to Pay Restitution

By Blum Law Group

2018-03-08: Updated: 2018-03-08 10:21:40 Summit Brokerage Services, Inc. Censured

By Blum Law Group

2018-02-27: Updated: 2018-02-27 11:10:47 FINRA Fines and Suspends Marlon Cole for 16 Months.

By Blum Law Group

2018-02-22: Updated: 2018-02-22 16:02:26 Timothy T. Gibbons Fined, Suspended and Order to Pay Restitution by FINRA

By Blum Law Group

2018-02-15: Updated: 2018-02-15 13:50:58 Oromaner, Suspended, Fined and Order to Pay Restitution by FINRA

By Blum Law Group

2018-02-13: Updated: 2018-02-13 09:20:05 Sica Required by FINRA to Attend Continuing Education

By Blum Law Group

2018-02-08: Updated: 2018-02-08 10:56:31 Lawing Suspended for Disclosing Nonpublic Client Information

By Blum Law Group

2018-02-06: Updated: 2018-02-06 10:28:27 FINRA Complaint Filed Against Bruce Martin Zipper

By Blum Law Group

2018-01-30: Updated: 2018-01-30 10:53:18 Walter Marino Suspended for One Year

By Blum Law Group

2018-01-26: Updated: 2018-01-26 11:20:49 Steven Meyer Barred by FINRA

By Blum Law Group

2018-01-22: Updated: 2018-01-22 11:29:47 Cotter Suspended and Fined by FINRA

By Blum Law Group

2018-01-04: Updated: 2018-01-04 10:04:59 Southwick Suspended from FINRA

By Blum Law Group

2017-12-28: Updated: 2017-12-28 12:01:25 FINRA Suspends Perry for 18 months

By Blum Law Group

2017-12-27: Updated: 2017-12-27 10:54:34 Jackson Barred from FINRA

By Blum Law Group

2017-12-21: Updated: 2017-12-21 10:22:22 Craig Scott Capital Expelled

By Blum Law Group

2017-12-20: Updated: 2017-12-20 10:45:07 Esteva Barred from FINRA

By Blum Law Group

2017-12-14: Updated: 2017-12-14 10:42:46 Complaint filed against Meyers Associates and Two of it’s Brokers

By Blum Law Group

2017-12-07: Updated: 2017-12-07 09:03:49 Fleming Suspended by FINRA for Four Months

By Blum Law Group

2017-11-30: Updated: 2017-11-30 10:31:12 Lomedico Supended & Fined by FINRA

By Blum Law Group

2017-11-22: Updated: 2017-11-22 09:06:01 FINRA Suspends LaCerte

By Blum Law Group

2017-11-21: Updated: 2017-11-21 09:16:48 Taboada, NAC Decision Appealed to SEC

By Blum Law Group

2017-11-16: Updated: 2017-11-16 09:55:47 NAC Barred David Joseph Excarcega from FINRA

By Blum Law Group

2017-11-15: Updated: 2017-11-15 08:32:52 Kimberlin Suspended from FINRA for 18 Months

By Blum Law Group

2017-11-09: Updated: 2017-11-09 09:14:13 Jay Jordan Barred from FINRA

By Blum Law Group

2017-11-07: Updated: 2017-11-07 09:15:53 Complaint Filed with FINRA Against Marino

By Blum Law Group

2017-11-02: Updated: 2017-11-02 14:24:16 FINRA Fined and Suspended Donald Bergeron for 15 Days

By Blum Law Group

2017-10-25: Updated: 2017-10-25 11:24:21 Serth Suspended for Three Months by FINRA

By Blum Law Group

2017-10-19: Updated: 2017-10-19 09:10:16 FINRA Complaint Filed Against Lawrence for Unapproved Loan from Customer

By Blum Law Group

2017-10-17: Updated: 2017-10-17 09:22:01 Likens, Suspended and Fined for Unapproved Loans from Customers

By Blum Law Group

2017-10-12: Updated: 2017-10-12 09:00:09 Hushek Suspended and Fined by FINRA

By Blum Law Group

2017-10-10: Updated: 2017-10-10 14:15:22 Carolina Financial Securities, LLC Fined and Bruce Roberts Sanctioned

By Blum Law Group

2017-10-03: Updated: 2017-10-03 11:13:40 Geraldine Gordon Suspended for 10 days by FINRA

By Blum Law Group

2017-09-28: Updated: 2017-09-28 09:55:38 Larry Wolfe Fined and Suspended by FINRA

By Blum Law Group

2017-09-26: Updated: 2017-09-26 09:19:09 FINRA Censures and Fines Trustfirst Inc.

By Blum Law Group

2017-09-21: Updated: 2017-09-21 11:22:01 FINRA Decision Regarding Legend Securities, FINAL

By Blum Law Group

2017-09-20: Updated: 2017-09-20 08:36:10 Oppenheimer & Co. Inc. Censured & Fined by FINRA

By Blum Law Group

2017-09-19: Updated: 2017-09-19 09:08:53 FINRA Suspends James Flower for Three Months (Requires Continuing Education)

By Blum Law Group

2017-09-14: Updated: 2017-09-14 10:38:05 Hickman, Fined, Suspended and Ordered to Pay Restitution by FINRA

By Blum Law Group

2017-09-12: Updated: 2017-09-12 09:43:37 Wells Fargo Securities, LLC Fined 3.2 Million Dollars

By Blum Law Group

2017-08-31: Updated: 2017-08-31 09:09:56 FINRA Suspends Landa for Two Months

By Blum Law Group

2017-08-30: Updated: 2017-08-30 08:29:59 An Offer of Settlement issued for James Davis Trent

By Blum Law Group

2017-08-29: Updated: 2017-08-29 08:44:55 MSI Financial Service, INC Censured and Required to Provide Remediation Plan

By Blum Law Group

2017-08-16: Updated: 2017-08-16 12:50:51 Burris Suspended by FINRA for Five Business Days

By Blum Law Group

2017-08-10: Updated: 2017-08-10 13:28:42 Bullock Censured and Fined by FINRA

By Blum Law Group

2017-08-08: Updated: 2017-08-08 10:11:00 Cetera Advisors LLC Sanctioned by FINRA

By Blum Law Group

2017-08-03: Updated: 2017-08-03 09:52:14 FINRA Fines and Suspends Jeffrey Davis for One Month

By Blum Law Group

2017-08-01: Updated: 2017-08-01 08:19:43 Spencer Edwards, Inc. Suspended and Fined by FINRA

By Blum Law Group

2017-07-20: Updated: 2017-07-20 09:13:14 Cagle Fined and Suspended for Two Months by FINRA

By Blum Law Group

2017-07-19: Updated: 2017-07-19 08:51:53 Scott Sibley Barred from FINRA

By Blum Law Group

2017-07-18: Updated: 2017-07-18 11:55:28 FSC Securities Corporation censured and Fined by FINRA

By Blum Law Group

2017-07-13: Updated: 2017-07-13 09:40:09 Todurge Barred by FINRA

By Blum Law Group

2017-07-12: Updated: 2017-07-12 08:35:57 Enrique Mercado Jr. Submits Offer of Settlement to FINRA

By Blum Law Group

2017-07-11: Updated: 2017-07-11 10:45:21 Legend Equities Corporation Sanctioned by FINRA

By Blum Law Group

2017-06-30: Updated: 2017-06-30 09:54:21 Jimenez Fined and Suspended by FINRA for Engaging in Securities Activities without being Registered

By Blum Law Group

2017-06-29: Updated: 2017-06-29 09:29:56 FINRA Suspends Harold Stephen Pomeranz for Three Months

By Blum Law Group

2017-06-23: Updated: 2017-06-23 11:04:41 Derek Wayne Border Suspended for Three Months

By Blum Law Group

2017-06-22: Updated: 2017-06-22 09:40:46 Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d)

By Blum Law Group

2017-06-20: Updated: 2017-06-20 10:21:41 Mark Schklar Fined and Suspended for Eight Months by FINRA

By Blum Law Group

2017-06-15: Updated: 2017-06-15 10:49:45 Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h)

By Blum Law Group

2017-06-14: Updated: 2017-06-14 11:12:22 Cecil Ernest Nivens named in FINRA Complaint

By Blum Law Group

2017-06-13: Updated: 2017-06-13 09:21:36 Ultralat Capital Markets, Inc. Censured and Fined by FINRA

By Blum Law Group

2017-06-09: Updated: 2017-06-09 09:15:59 Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d)

By Blum Law Group

2017-06-08: Updated: 2017-06-08 08:57:43 Jarred Lawson Suspended by FINRA for One Year

By Blum Law Group

2017-06-06: Updated: 2017-06-06 09:39:21 FINRA Censures Santander Securities LLC and Orders them to Pay Fined and Restitution

By Blum Law Group

2017-06-01: Updated: 2017-06-01 08:42:02 FINRA Complaint filed against Legend Securities, Inc.

By Blum Law Group

2017-05-31: Updated: 2017-05-31 08:23:26 FINRA Barred Jaoshiang Luo (CRD #2143876, Flushing, New York)

By Blum Law Group

2017-05-30: Updated: 2017-05-30 08:48:44 J. Michael Casas Barred from FINRA

By Blum Law Group

2017-05-25: Updated: 2017-05-25 10:01:14 Maczko Barred from FINRA for Taking Advantage of Elderly Customers

By Blum Law Group

2017-05-24: Updated: 2017-05-24 09:59:59 Adam Fritzsche Suspended by FINRA for one Year

By Blum Law Group

2017-05-23: Updated: 2017-05-23 09:02:24 Kelly Clayton Althar submitted an Offer of Settlement, and Barred by FINRA.

By Blum Law Group

2017-05-18: Updated: 2017-05-18 10:22:09 Edward D. Jones & Co., L.P. sanctioned for overcharging interest on margin loans totaling approximately $708,000

By Blum Law Group

2017-05-17: Updated: 2017-05-17 07:51:52 Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h) February 2017

By Blum Law Group

2017-05-16: Updated: 2017-05-16 08:50:59 James Rose, Suspended for Six Months for Engaging in Business Activities without Disclosure or Approval.

By Blum Law Group

2017-05-12: Updated: 2017-05-12 08:43:10 Statim Holdings Inc., has guaranteed investors its main hedge fund won’t lose money.

By Blum Law Group

2017-05-11: Updated: 2017-05-11 08:51:48 Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h) February 2017

By Blum Law Group

2017-05-10: Updated: 2017-05-10 09:05:23 Alejandro Falla (Miami, Florida) Barred from acting as Broker and Associating with any FINRA member in any capacity. (FINRA Case #2013035313902)

By Blum Law Group

2017-05-04: Updated: 2017-05-04 10:12:52 Securities-based Loans (SBLs): What are they and what is the risk

By Blum Law Group

2017-05-03: Updated: 2017-05-03 13:44:52 FINRA Expelled Fox Financial Management Corporation and Suspends Chief Compliance Officer Brian Andrew Murphy & President James Edward Rooney Jr. (FINRA Case #2012030724101)

By Blum Law Group

2017-04-27: Updated: 2017-04-27 08:23:04 Legendary Sports Gambler Billy Walters Convicted of Insider Trading

By Blum Law Group

2017-04-20: Updated: 2017-04-20 09:32:10 New Sanction Guidelines for NAC

By Blum Law Group

2017-04-06: Updated: 2017-04-06 09:25:29 Investor Alert issued by FINRA regarding Binary Options Follow-up Schemes

By Blum Law Group

2017-03-30: Updated: 2017-03-30 15:11:35 Will Allen (Former Dolphins, Giants, and Patriots NFL Player) was Charged with 23 Federal Felonies in Alleged Ponzi Scheme

By Blum Law Group

2017-03-24: Updated: 2017-03-24 12:56:45 FINRA bars North Carolina Broker/Dealer for False Testimony, and Fabricated Documents

By Blum Law Group

2017-03-16: Updated: 2017-03-16 14:07:24 Morgan Stanley pays penalty after allegations of inverse ETF investments

By Blum Law Group

2017-02-24: Updated: 2017-02-24 13:48:11 Large FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Funds

By Blum Law Group

2016-03-14: Updated: 2016-03-29 14:33:16 FINRA Questioning Brokerage Firm “Culture”

By Blum Law Group

2014-08-18: Updated: 2016-03-29 14:13:57 LPL Financial Fraught with Allegations of Supervisory Failures

By Blum Law Group

2014-08-12: Updated: 2016-03-29 14:13:59 Total Wealth Management Sanctions Kickbacks

By Blum Law Group

2014-08-04: Updated: 2016-03-29 14:14:03 U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charges

By Blum Law Group

2014-08-01: Updated: 2016-03-29 14:14:06 Judge Orders Attorney to Pay Nearly $4 Million in Prime Bank Investment Scheme

By Blum Law Group

2014-07-30: Updated: 2016-03-29 14:14:08 Florida Transfer Agent Charged by SEC with Defrauding Investors

By Blum Law Group

2014-07-25: Updated: 2016-03-29 14:14:11 Goldman Sachs Group, Inc. to Face Judge in September

By Blum Law Group

2014-07-15: Updated: 2016-03-29 14:14:13 Oppenheimer Advisor Targets Elderly Widow

By Blum Law Group

2014-07-01: Updated: 2016-03-29 14:14:17 Barred Investment Advisor Swindles Clients for Nearly $9 Million

By Blum Law Group

2014-06-24: Updated: 2016-03-29 14:14:19 UBS Continues to Face Controversy over Puerto Rico Muni Bonds

By Blum Law Group

2014-06-20: Updated: 2016-03-29 14:14:22 Rafferty Capital Markets Enables Unregistered Firm to Engage in Illegal Trades

By Blum Law Group

2014-06-18: Updated: 2016-03-29 14:14:24 Private Fund Manager Charged by SEC for Theft of Investor Funds

By Blum Law Group

2014-06-17: Updated: 2016-03-29 14:14:27 FINRA Castigates Prodigious Morgan Stanley Smith Barney for Supervisory Failures

By Blum Law Group

2014-06-13: Updated: 2016-03-29 14:14:30 Feds, SEC Tag Qualcomm Managers for Insider Trading

By Blum Law Group

2014-06-05: Updated: 2016-03-29 14:14:33 Barred Stock Broker Dupes Investors in Florida Real Estate Deal

By Blum Law Group

2014-05-20: Updated: 2016-03-29 14:14:35 SEC Landmark Non-prosecution Deal in Insider Trading Racket

By Blum Law Group

2014-05-16: Updated: 2016-03-29 14:14:37 Widespread “Expert Networks” Investigation by SEC Snags Dozens for Insider Trading

By Blum Law Group

2014-05-07: Updated: 2016-03-29 14:14:40 SEC and Homeland Security Squash TelexFree Pyramid Scheme

By Blum Law Group

2014-05-06: Updated: 2016-03-29 14:14:42 Transamerica Financial Advisors Breakpoint Discounts? Nor for Everyone

By Blum Law Group

2014-05-05: Updated: 2016-03-29 14:14:45 Defunct Direct Access Partners Scuttled by Shady Practices

By Blum Law Group

2014-05-02: Updated: 2016-03-29 14:14:47 IT Giant Hewlett-Packard Charged with FCPA Violations

By Blum Law Group

2014-05-01: Updated: 2016-03-29 14:14:50 FINRA Fines LPL Financial Nearly $1,000,000 for Supervisory Short-Falls

By Blum Law Group

2014-04-21: Updated: 2016-03-29 14:14:53 Florida-based YouTube Ponzi Scam Draws Attention of SEC, Criminal Authorities

By Blum Law Group

2014-04-03: Updated: 2016-03-29 14:14:55 Bitcoin Continues to be of Concern to Regulatory Authorities

By Blum Law Group

2014-04-01: Updated: 2016-03-29 14:14:58 Two Guys Walked into a Bar: Investment Broker, Law Clerk, and “Middleman” Bilk $5.6 Million Through Insider Trading

By Blum Law Group

2014-03-31: Updated: 2016-03-29 14:15:01 Puerto Rico Municipal Bonds: Not Just Another Muni

By Blum Law Group

2014-03-28: Updated: 2016-03-29 14:15:04 UBS Puerto Rico, Executives Shill Investors

By Blum Law Group

2014-03-20: Updated: 2016-03-29 14:15:10 International Pyramid Scheme Gouges Investors Through Use of Social Media

By Blum Law Group

2014-03-18: Updated: 2016-03-29 14:15:14 Berthel Fisher and Affiliate, Securities Management & Research, Fined $775,000

By Blum Law Group

2014-03-07: Updated: 2016-03-29 14:15:16 Global Conglomerate, Credit Suisse Group AG, Fined for SEC Violations

By Blum Law Group

2014-03-04: Updated: 2016-03-29 14:15:19 AML Violations Lead to Historic Penalty for Brown Brothers Harriman

By Blum Law Group

2014-02-26: Updated: 2016-03-29 14:15:22 SEC Takes Action to Minimize Microcap Fraud: Targets Hundreds of Shell Companies

By Blum Law Group

2014-02-18: Updated: 2016-03-29 14:15:26 Know Your Stock Attorney

By Blum Law Group

2014-02-13: Updated: 2016-03-29 14:15:29 Legg Mason Affiliate Charged with Defrauding Clients

By Blum Law Group

2014-02-12: Updated: 2016-03-29 14:15:31 SEC’s Risk Alert Regarding Alternative Investments Due Diligence

By Blum Law Group

2014-01-30: Updated: 2016-03-29 14:15:34 KPMG Violates Directives Regarding Auditor Independence

By Blum Law Group

2013-12-13: Updated: 2016-03-29 14:15:37 What is Breach of Fiduciary Duty?

By Blum Law Group

2013-11-15: Updated: 2016-03-29 14:15:40 Wife of Florida Ponzi scammer sent to prison for 18 months

By Blum Law Group

2013-11-11: Updated: 2016-03-29 14:15:43 FINRA Investor Alert

By Blum Law Group

2013-10-28: Updated: 2016-03-29 14:15:46 Lost Money in Puerto Rico Bonds or Bonds Funds?

By Blum Law Group

2013-04-11: Updated: 2016-03-29 14:15:48 UBS facing Millions of Dollars in Claims

By Blum Law Group

2012-10-25: Updated: 2016-03-29 14:15:52 Blum Law Group Investigates David Lerner Associates, Inc.

By Blum Law Group

2012-10-18: Updated: 2016-03-29 14:15:54 Blum Law Group Investigates JW Korth & Company

By Blum Law Group

2012-08-24: Updated: 2016-03-29 14:15:57 Peregrine CEO pleads Not Guilty even After he admits to wrongdoing in a note

By Blum Law Group

2012-07-10: Updated: 2016-03-29 14:16:00 Blum Law Group Investigates Liberty Trading Group and Peregrine Financial Group

By Blum Law Group

2012-03-02: Updated: 2016-03-29 14:16:02 February 2012 FINRA Florida Disciplinary Actions

By Blum Law Group

2012-02-14: Updated: 2016-03-29 14:16:05 January 2012 FINRA Florida Disciplinary Actions

By Blum Law Group

2011-10-05: Updated: 2016-03-29 14:16:08 FINRA Issued Investor Alert on Public Non-Traded REITs

By Blum Law Group

2011-10-03: Updated: 2016-03-29 14:16:11 Blum Law Group Files Securities Class Action Against Regions Bank Alleging Regions Aided and Abetted the Sale of Securities by an Unregistered Dealer

By Blum Law Group

2011-10-01: Updated: 2016-03-29 14:16:14 FINRA Fined Raymond James for Charging Unfair Commissions and Ordered Restitution

By Blum Law Group

2011-09-28: Updated: 2016-03-29 14:16:16 Blum Law Group Files Claims on Behalf of McGinn Smith Investors Against National Financial Services, LLC

By Blum Law Group

2011-09-22: Updated: 2016-03-29 14:16:19 Lehman Investor Alert: Continued Findings that UBS Misled Lehman Structured Notes Investors

By Blum Law Group

2011-09-20: Updated: 2016-03-29 14:16:21 FINRA Fines Pointe Capital, Inc. (n/k/a JHS Capital Advisors, Inc.) for Excessive Commissions

By Blum Law Group

2011-08-24: Updated: 2016-03-29 14:16:23 Recovering Investment Losses in Desert Capital REIT

By Blum Law Group

2011-08-24: Updated: 2016-03-29 14:16:26 Blum Law Group Announces its Investigation of the Laeroc Funds

By Blum Law Group

2011-08-19: Updated: 2016-03-29 14:16:28 Investors in Lehman Structured Notes Awarded the Return of the Their Entire Investment from Neuberger Berman

By Blum Law Group

2011-08-04: Updated: 2016-03-29 14:16:30 Broker-Dealers Charging Excessive “Postage and Handling” Fees

By Blum Law Group

2011-06-01: Updated: 2016-03-29 14:16:33 FINRA Accuses Apple REITs/David Lerner Associates of Fraud

By Blum Law Group

2011-05-27: Updated: 2016-03-29 14:16:36 SEC Implements Whistleblower Award Program

By Blum Law Group

2011-05-25: Updated: 2016-03-29 14:16:38 FTC Shuts Down American Precious Metals, LLC, a Precious Metals Boiler Room Based out of Deerfield Beach, Florida that Preyed on Seniors

By Blum Law Group

2011-05-12: Updated: 2016-03-29 14:16:41 SEC Charges Subprime Auto Loan Lender and Executives With Fraud

By Blum Law Group

2011-04-11: Updated: 2016-03-29 14:16:43 FINRA Sanctions UBS Nearly $11 Million for Down Playing Risks Associated with Lehman Principal Protected Notes Sold to its Customers

By Blum Law Group

2011-04-08: Updated: 2016-03-29 14:16:45 SEC Shuts Down Multiple Chinese Companies Listed on U.S. Stock Exchanges and Investigates their Practices

By Blum Law Group

2011-03-31: Updated: 2016-03-29 14:16:48 Lehman Bankruptcy Trustee Sued Citibank for $1.3 Billion

By Blum Law Group

2011-03-16: Updated: 2016-03-29 14:16:51 Investors Recoup Madoff Losses through FINRA Arbitration

By Blum Law Group

2011-02-22: Updated: 2016-03-29 14:16:53 Regulators Continue Efforts to Rein in New Ponzi Schemes

By Blum Law Group

2011-02-19: Updated: 2016-03-29 14:16:56 Sean Premock & Premock Financial: Sale of Fraudulent Investment Products

By Blum Law Group

2010-12-28: Updated: 2016-03-29 14:16:58 Another Victory for Investors Who Purchased Lehman Brothers Structured Notes

By Blum Law Group

2010-12-03: Updated: 2016-03-29 14:17:02 Former Television Star Pleads Guilty to Securities Fraud

By Blum Law Group

2010-11-28: Updated: 2016-03-29 14:17:05 South Florida brokerage firm targeted in $5 million lawsuit filed by Rothstein trustee

By Blum Law Group

2010-11-05: Updated: 2016-03-29 14:17:08 Investors Continue to Recover from UBS over Lehman Notes in FINRA Arbitration

By Blum Law Group

2010-11-05: Updated: 2016-03-29 14:17:11 Brewer Investment Group Promissory Note Fraud

By Blum Law Group

2010-10-26: Updated: 2016-03-29 14:17:13 The Lehman Bankruptcy – Everyone is Getting Paid But the Victims

By Blum Law Group

2010-10-07: Updated: 2016-03-29 14:17:16 Banyon Investors Unlikely to Recover Significant Money from Scott Rothstein Restitution Fund or from the Receivership

By Blum Law Group

2010-09-29: Updated: 2016-03-29 14:17:18 New Law Provides Financial Incentives and Increased Protection for Securities Fraud Whistleblowers

By Blum Law Group

2010-08-25: Updated: 2016-03-29 14:17:20 Montana Regulator Sues Securities America over Medical Capital

By Blum Law Group

2010-08-25: Updated: 2016-03-29 14:17:23 Blum & Silver Representing Investors in ProShares and other Exchange Traded Funds (ETFs)

By Blum Law Group

2010-07-12: Updated: 2016-03-29 14:17:25 Scott L. Silver, Esq. Selected for Florida Trend’s 2010 Florida Legal Elite

By Blum Law Group

2010-07-06: Updated: 2016-03-29 14:17:27 SEC Looking at the Sale of Principal Protected Notes

By Blum Law Group

2010-04-16: Updated: 2016-03-29 14:17:30 SEC Brings Securities Fraud Action against Goldman Sachs in Connection With the Creation and Sale of Subprime CDOs

By Blum Law Group

2010-04-01: Updated: 2016-03-29 14:17:33 Broker and Investment Author Bambi Holzer Facing Complaints for the Sale of Provident Shale Royalties Ponzi Scheme

By Blum Law Group

2010-03-19: Updated: 2016-03-29 14:17:36 FINRA Expels Provident Asset Management and is Investigating Other Provident Selling Broker-Dealers

By Blum Law Group

2010-02-17: Updated: 2016-03-29 14:17:38 FINRA Fines H&R Block Financial Advisors for Inadequate Supervision of Reverse Convertible Notes Sales and Issues Guidelines for the Sale of These Products

By Blum Law Group

2010-02-11: Updated: 2016-03-29 14:17:40 Blum Law Group Investigates Michael DiMare Losses Against ING and Signator Investors

By Blum Law Group

2010-01-28: Updated: 2016-03-29 14:17:43 Medical Capital Investor Alert: Massachusetts Securities Regulators Have Sued Securities America, Inc. for Securities Fraud

By Blum Law Group

2010-01-26: Updated: 2016-03-29 14:17:45 Medical Capital Investors Still Owed $1.7 Billion

By Blum Law Group

2010-01-25: Updated: 2016-03-29 14:17:47 Increased FINRA Arbitration in 2009

By Blum Law Group

2010-01-13: Updated: 2016-03-29 14:17:50 2009: “The Year of the Ponzi Scheme”

By Blum Law Group

2009-12-30: Updated: 2016-03-29 14:17:52 FINRA Expresses Concern about Principal Protected Notes

By Blum Law Group

2009-12-11: Updated: 2016-03-29 14:17:54 Scott Silver of Blum Law Group Wins Most Effective Securities Lawyer Award

By Blum Law Group

2009-12-08: Updated: 2016-03-29 14:17:57 Investor Wins Arbitration Award Against UBS Over Lehman PPN

By Blum Law Group

2009-11-30: Updated: 2016-03-29 14:18:00 Broker-Dealers Negligent in Their Due Diligence

By Blum Law Group

2009-11-11: Updated: 2016-03-29 14:18:02 Securities America May Have Suspected Problems with Medical Capital Notes

By Blum Law Group

2009-08-30: Updated: 2016-03-29 14:18:04 Stockbroker ordered to pay $7 million securities arbitration judgment

By Blum Law Group

2009-08-30: Updated: 2016-03-29 14:18:07 OUR LAW FIRMS INVESTIGATION INTO MEDICAL CAPITAL LOSSES CONTINUE

By Blum Law Group

2009-08-25: Updated: 2016-03-29 14:18:10 Blum Law Group to represent investors for losses in Medical Capital

By Blum Law Group

2009-08-16: Updated: 2016-03-29 14:18:13 SEC OBTAINS ASSET FREEZE IN $485 MILLION NATIONWIDE OFFERING FRAUD BY PROVIDENT ROYALTIES, LLC

By Blum Law Group

2009-07-26: Updated: 2016-03-29 14:18:15 SEC Hits Morgan Keegan With Wells Notice

By Blum Law Group

2009-07-15: Updated: 2016-03-29 14:18:18 BLUM & SILVER CONTINUES TO FILE ARBITRATION CLAIMS AGAINST UBS FOR THE SALE OF LEHMAN PRINCIPAL PROTECTED NOTES

By Blum Law Group

2009-07-15: Updated: 2016-03-29 14:19:19 Blum Law Group Files FINRA Arbitration Against Deutsche Bank Securities for Sale of the Aravali Fund

By Blum Law Group

2009-07-03: Updated: 2016-03-29 14:19:23 SEC lawsuit targets Aura

By Blum Law Group

2009-07-03: Updated: 2016-03-29 14:19:26 NEW HAMPSHIRE REGULATORS CLAIM UBS MISLED INVESTORS ABOUT LEHMAN PRINCIPAL PROTECTED NOTES

By Blum Law Group

2008-11-07: Updated: 2016-03-29 14:19:28 Lehman Good-for-Retirement Notes Worth Pennies for UBS Clients

By Blum Law Group

2008-10-31: Updated: 2016-03-29 14:19:31 BofA Sues Bear Stearns For Hedge Fund Blow Up

By Blum Law Group

2008-10-21: Updated: 2016-03-29 14:19:33 NOTICE TO ALL UBS CLIENTS WHO PURCHASED LEHMAN STRUCTURED NOTES AND LEHMAN PREFERRED SHARES

By Blum Law Group

2008-02-14: Updated: 2016-03-29 14:19:36 Blum Law Group obtains a FINRA arbitration award against CIBC World Markets Corp., Jeff Bank, and Arthur Lewis

By Blum Law Group

2007-12-26: Updated: 2016-03-29 14:19:40 FINRA ARBITRATION PANEL AWARDS Blum Law Group CLIENT LARGE PUNITIVE DAMAGE AWARD AGAINST STOCKBROKER GARY GROSS

By Blum Law Group

2007-12-24: Updated: 2016-03-29 14:19:46 Welcome to the Stockattorneys blog of Blum Law Group

By Blum Law Group