Archives
- 2012.01.16: California Stockbroker Discipline Report for September - December 2011
- 2012.01.09: SEC Adopts Regulations to Preclude the Sale of Private Placements to Small Investors
- 2011.12.15: Wells Fargo Investments Fined $2 Million for Unsuitable Reverse Convertible Note Sales
- 2011.11.18: Ameritas Investment Corporation Suing Its Own Brokers Over Customer Losses in Sale of Private Placement
- 2011.11.11: Regulators Concerned About Brokers Claiming to be "Senior Specialists"
- 2011.11.07: IMH Secured Loan Fund: Here Come the Lawyers!
- 2011.10.19: Senior Citizens Have a New Financial Watchdog
- 2011.09.22: California Securities Fraud Lawyer News Flash: AXA Investment Executive Settles Securities Fraud Charges
- 2011.09.01: California Stockbroker Discipline Report for May - August 2011
- 2011.08.30: Highland Floating Rate Funds' Poor Performance Leads to Investor Lawsuits
- 2011.08.15: IMH Financial Corporation's CEO Shane Albers unloads stock at a premium of $8.02 per share
- 2011.08.10: Citigroup Fined $500,000 for Failure to Supervise and Detect Theft of Customer Funds at Palo Alto, California, Office
- 2011.07.14: Stockbroker Breach of Fiduciary Duty is the Number One Investor Complaint
- 2011.06.17: More Bad News for Life Partners Holdings
- 2011.06.10: Former UBS Financial Services Advisor Pleads Guilty to Securities Fraud
- 2011.05.31: So you want to be a whistleblower?
- 2011.05.27: Toxic ETFs
- 2011.05.25: SEC Approves Final Rules For Securities Fraud Whistleblower Program
- 2011.05.16: ALF Investigating Claims Involving Lifestyle Design Group
- 2011.05.13: Life Partners Holdings Receives Wells Notice
- 2011.05.02: California Stockbroker Discipline Report for the First Quarter of 2011
- 2011.04.25: IMH Financial Corporation Planning a $50 Million Recapitalization Loan and Shareholder Tender Offer
- 2011.04.17: Investor Sues Ameritas Over Recommendation to Use Real Estate Loans to Invest in Private Placements
- 2011.04.15: IMH Financial Corporation's Latest SEC Filing Reflects a 73% Decline in Value
- 2011.04.07: SEC Files Securities Fraud Lawsuit Against Southern California Wealth Manager
- 2011.03.03: SEC Files Securities Fraud Lawsuit Against San Francisco Bay Area Financial Advisor
- 2011.03.01: University of San Francisco's Investor Justice Clinic Helps Investor Recover $43,177 From Chase Investment Services LLC
- 2011.02.24: Five Ways to Help Others Avoid Securities Fraud
- 2011.02.23: E*Trade Faces Regulatory Scrutiny Over Auction-Rate Securities
- 2011.02.14: Wrap Accounts Are a Poor Choice for Conservative Investors
- 2011.01.24: Is the IMH IPO Going Forward?
- 2011.01.19: IMH's Financial Troubles Reported in Today's Wall Street Journal
- 2011.01.11: Charles Schwab Agrees to Pay SEC $118 Million to Settle YieldPlus Charges
- 2011.01.10: IMH Financial Corporation Shares Valued at 1/3 the Original Purchase Amount
- 2011.01.07: Investors Have Suffered Significant Losses In These Leveraged Funds
- 2010.12.31: California Stockbroker Discipline Report for the Fourth Quarter of 2010
- 2010.12.22: Ponzi victims suing stockbrokers who recommended Draseena Funds Group investment
- 2010.12.21: SEC Files Securities Fraud Charges Against San Francisco Investment Advisors
- 2010.12.04: Are Leveraged and Inverse ETFs Suitable for You? (Part 4 of 4)
- 2010.12.03: Securities Regulators Step Up Oversight of Leveraged and Inverse ETFs (Part 3 of 4)
- 2010.12.02: What Are Leveraged and Inverse ETFs? (Part 2 of 4)
- 2010.12.01: If It Looks Too Good to Be True, It's Probably a Leveraged (or Inverse) ETF (Part 1 of 4)
- 2010.11.22: IMH Initial Public Offering (IPO) Put on Hold
- 2010.11.09: Charles Schwab Backs Out of Yield Plus Class Action Settlement
- 2010.11.03: SEC Proposes New Whistleblower Program Rules
- 2010.10.27: IMH Financial Corporation Files for IPO
- 2010.10.07: Syndicated Radio Show Host Charged With Securities Fraud
- 2010.10.01: IMH Secured Loan Fund | IMH Financial Corporation Update
- 2010.09.28: FINRA Takes Steps to Level the Playing Field for Investors
- 2010.09.27: U.S. Justice Department Files Securities Fraud Lawsuit Against San Francisco Man for Perpetrating a Ponzi Scheme
- 2010.09.23: California Stockbroker Discipline Report for August and September 2010
- 2010.09.10: Medical Capital Movie "The Perfect Game" Strikes Out
- 2010.09.07: Investor Alert: Beware of Stockbrokers That Prey on Bank Customers
- 2010.08.24: Montana Securities Regulators Take Disciplinary Action Against Securities America Over Medical Capital Fiasco
- 2010.08.12: Securities Regulators Vow to Make the Protection of Senior Investors a Top Priority
- 2010.08.02: California Stockbroker Discipline Report for July 2010
- 2010.07.22: Investor Home Equity to be Excluded from $1 Million Minimum Net-Worth Requirement for Accredited Investors
- 2010.07.21: SEC Launches Securities Fraud Whistleblower Program
- 2010.07.21: Colorado Securities Commissioner Files Notice of Charges Against E*Trade Securities Regarding Auction Rate Securities
- 2010.07.19: FBI Reports 105% Increase in High Yield Investment Fraud Investigations
- 2010.07.09: California Stockbroker Discipline Report for June 2010
- 2010.06.15: IMH Secured Loan Fund: Investor Class Action Filed
- 2010.06.01: California Stockbroker Discipline Report for May 2010
- 2010.05.28: FINRA Files Complaint Against Thomas Weisel Partners LLC Over Sale of Auction Rate Securities (ARS)
- 2010.05.24: IMH Secured Loan Fund IPO: Management Wants to Come Out of Hibernation
- 2010.05.01: California Stockbroker Discipline Report for April 2010
- 2010.04.29: It's Time to Change the Accredited Investor Rule for Private Placements
- 2010.04.20: Charles Schwab Settles YieldPlus Class Action Securities Lawsuit
- 2010.04.12: Medical Capital Update: Stockbroker's License Revoked for Violating the Prohibition Against General Solicitations
- 2010.04.01: IMH Secured Loan Fund Tender Offer (Update 1)
- 2010.03.31: California Stockbroker Discipline Report for March 2010
- 2010.03.29: Morgan Stanley to Pay Over $7 Million for Dispensing Unsuitable Early Retirement Investment Advice
- 2010.03.23: Medical Capital Executives Face Criminal Investigation
- 2010.03.22: Massachusetts Securities Regulators Subpoena Six Brokers Over Sale of Medical Capital Holdings and Provident Royalties
- 2010.03.19: IMH Secured Loan Fund Tender Offer
- 2010.03.18: Provident Asset Management is Finally Expelled by FINRA for Securities Fraud in Connection with Massive Ponzi Scheme
- 2010.03.15: Securities Arbitration vs. Class Actions: Which is More Financially Rewarding?
- 2010.03.05: First Allied Securities Enters Into $1.95 Million Settlement with SEC Over Failure to Supervise Broker
- 2010.03.04: California Stock Psychic Sued by SEC for Securities Fraud
- 2010.03.03: Even for Accredited Investors, Stockbroker Recommendations to Buy Private Placements Are Subject to the Suitability Rule
- 2010.02.28: California Stockbroker Discipline Report for February 2010
- 2010.02.26: Provident Royalties Bankruptcy Update: Investors Should Look Before They Leap
- 2010.02.24: Medical Capital Securities Fraud Lawsuit Update
- 2010.02.23: SEC Files Securities Fraud Lawsuit Against Two Sacramento Men For Misappropriating $10 Million From Investors
- 2010.02.22: Is Mass-Arbitration in the Client's Best Interest?
- 2010.02.19: Variable Annuity Exchanges and Replacements: Stockbroker Liability for Failing to Facilitate a Tax-Free 1035 Exchange
- 2010.02.16: IMH Secured Loan Fund Investigation Update No. 2
- 2010.02.12: California Stockbroker Discipline Report for January 2010
- 2010.02.11: Medical Capital Securities Fraud Update
- 2010.02.08: IMH Secured Loan Fund Investigation Update 1
- 2010.02.07: State of California to Receive $779,795 in Regulatory Action Over the Unsuitable Sale and Exchange of Variable Annuities
- 2010.01.30: IMH Secured Loan Fund Securities Lawsuit Alert
- 2010.01.29: Medical Capital Update: Massachusetts Regulators Charge Securities America With Securities Fraud
- 2010.01.15: Securities Arbitration Award Results for 2009 Better Than Expected for San Francisco Investors
- 2009.12.31: California Stockbroker Discipline Report for December 2009
- 2009.12.22: California Based Pacific Cornerstone Capital Fined $750,000 Over Private Placements
- 2009.12.08: SEC Files Securities Fraud Lawsuit Against Brookstreet Securities of Irvine, California
- 2009.12.07: SEC Strikes at Striker Petroleum for Securities Fraud
- 2009.12.04: Medical Capital Holdings & Provident Asset Management Securities Fraud Update
- 2009.12.01: Reminder to California Schwab Yield Plus Investors: Class Action Opt Out Deadline Looming
- 2009.11.30: California Stockbroker Discipline Report for November 2009
- 2009.11.17: Wells Fargo Bank and Bank of New York Mellon Involved In Medical Capital Securities Class Action
- 2009.11.10: SEC Reaches Settlement With San Francisco Brokerage Firm Regarding Failure to Supervise Securities Fraud Committed by Rogue Stockbroker
- 2009.11.01: Encouraging News for Securities Arbitration Claimants?
- 2009.10.30: California Stockbroker Discipline Report for October 2009
- 2009.10.15: Schwab Receives Wells Notice From SEC Regarding Schwab YieldPlus Fund and Total Bond Market Fund
- 2009.10.14: Deadline to Opt-Out of Schwab YieldPlus Class Action Set for December 28, 2009
- 2009.10.05: FINRA Dispute Resolution Expands Pilot Program for Securities Arbitration Panels
- 2009.09.30: California Stockbroker Discipline Report for September 2009
- 2009.09.21: Medical Capital Class Action or Arbitration: Investors Should Consider Their Options
- 2009.09.10: California Court Certifies Schwab YieldPlus Class Action
- 2009.09.03: Expedited Arbitration Procedures for Senior Citizens and Seriously Ill Investors
- 2009.09.01: Sales Assistant in Smith Barney's Palo Alto, California, Branch Office Barred for Securities Fraud Law Violations
- 2009.08.17: Securities Fraud Case Filed Against San Francisco-Based Charles Schwab for Fraudulent Sales of Auction Rate Securities (ARS)
- 2009.07.29: FINRA Sanctions Merrill Lynch and UBS for Failing to Supervise the Sale of Closed-End Funds
- 2009.07.24: FINRA Sanctions Brokerage Firms Affiliated with Wells Fargo and Washington Mutual Banks for Variable Annuity Sales Violations
- 2009.07.21: San Francisco's Charles Schwab Corp. Facing New Securities Fraud Allegations Over the Sale of Auction Rate Securities
- 2009.07.09: Why Having a California Licensed Securities Arbitration Lawyer is So Important
- 2009.07.07: About the Financial Industry Regulatory Authority (FINRA)
- 2009.07.01: San Francisco, California, Securities Arbitration Award Results During First Half of 2009 Are Well Below FINRA's Nationwide Average
- 2009.06.24: Securities Fraud Victims Get Free Legal Assistance from University of San Francisco Law Students
- 2009.03.03: What if Your Broker Goes Out of Business?
- 2009.02.06: The "Scam Meter"
- 2009.01.31: Looking Back: The Trouble with Variable Annuities
- 2009.01.28: Securities Arbitration vs. Class Actions: Consider Your Options
- 2009.01.26: Is Your Broker Looking Out for You?
- 2009.01.26: Elder Financial Abuse
- 2009.01.08: Check Your Broker
