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As an individual investor, you are entitled to a number of important protections under federal law. One of these protections exists in the form of the “fiduciary duty” that investment advisors owe to their clients. Fundamentally, the fiduciary duty requires investment advisors to act in their clients’ best interests when […]
Last year, we reported on a case in which the Securities and Exchange Commission (SEC) was pursuing charges against a Chicago investment advisor, Daniel H. Glick, for allegedly defrauding senior investors out of millions of dollars and using their savings to fund his own lavish lifestyle. Federal prosecutors pursued criminal […]
Five years after the Puerto Rico bond market collapsed, ruining the retirement and life savings of thousands of retail investors, investigators are likely to place much of the blame on the big banks who underwrote and sold the bonds to Mom and Pop clients. According to recent news reports, an independent […]
The law firm is investigating Newbridge Securities Corp. (“Newbridge”) located in Boca Raton, Florida, and Sandlapper Securities LLC (“Sandlapper”) located in Greenville, South Carolina, over sales of private investments to investors. According to a recent Wall Street Journal article, investors at Newbridge “have a one in four chance of getting […]
On April 12, 2018, a federal grand jury in Tennessee indicted John Sherman Jumper, a former securities broker, on charges relating to an alleged $5.7 million fraud scam targeting the pension funds of a brick manufacturing company located in Pennsylvania. The indictment came following an investigation conducted by the Federal […]
If you are like most people, you rarely give much thought to your 401k. You know it is there, and you know you contribute to it with every paycheck, but you do not watch it closely, and you certainly do not monitor it for signs of fraud. Unfortunately, financial fraud […]
Investors in cryptocurrencies face challenges as the market for virtual coins isn’t as carefully regulated as the market for trading in many other types of assets. Working with a cryptocurrency lawyer is advisable to ensure that your rights are protected and that you make sure your investment dollars are as […]
Investing in cryptocurrency comes with many risks, even beyond the risks inherent in investing in a volatile asset. A Bitcoin attorney can provide help to clients in understanding and mitigating those risks in order to maximize the chances that investing in cryptocurrency can produce a positive return on investment. One […]
The law firm is investigating Dean Mustaphilli and his hedge fund, Mustaphilli Capital Partners Fund, L.P., for alleged fraud, as well as potential claims for supervisory failures and aiding and abetting by his trading firms. On June 14, 2017, the New York Attorney General’s Office charged Mustaphilli with defrauding elderly […]
Please find below the Amended Stipulation and Agreement of Settlement and the Amended Notice of Pendency and Settlement of Shareholder Derivative Action in Phan, et al., v. Ivy Investment Management Company, et al., Case No. 16CV02338, pending in the District Court of Johnson County, Kansas. DOCUMENT LINKS: Amended Stipulation […]