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Category Archives: Securities Fraud

Greg Tendrich

Brokers Beware! Firms are starting to terminate brokers with “significant history of misconduct”

By Gregory Tendrich, P.A. |

In order to comply with new FINRA Rule 4111, and not be designated a “Restricted Firm,” firms are starting to terminate brokers and advisors who have multiple  “disclosure events” and/or have a history of being associated with expelled broker dealers.    According to a recent published report, many firms are making a concerted effort to cull… Read More »

Greg Tendrich

UBS files arbitration claim against one of its former advisors, Robert E. Turner, seeking to recover $17mm in customer losses from “sham” investment, Fairfax Financial Corporation.

By Gregory Tendrich, P.A. |

According to published reports, UBS has filed a FINRA arbitration seeking to recover losses it expects to pay to customers of the firm who were duped into purchasing a “sham outside investment” Fairfax Financial Corporation. According to the article, Turner allegedly persuaded 23 clients to purchase Fairfax Financial Corporation between 1997 and 2021 and generated… Read More »

With Wild Swings, Stocks Have their Worst December Since the Great Depression

By Gregory Tendrich, P.A. |

In a volatile market, is your portfolio too risky? As the bell rang to close the New York Stock Exchange (NYSE) on the afternoon of December 31st, a difficult month for stocks finally came to an end. As reported by The Street, this was the worst December for American stocks since 1931 — during… Read More »

Customers File Suits Against B. Riley & Co. For Mismanaging Accounts

By Gregory Tendrich, P.A. |

Norman Joel Caris (CRD: 40535) is a registered representative of B. Riley FBR, Inc. based in Los Angeles, California. According to Caris’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck file, he was previously referenced in five customer-initiated, investment-related disputes containing allegations of sales practice violations which include suitability, account mismanagement, excessive commissions, and fraud. Those… Read More »

Customer Complaint Filed Against Ameriprise’s Michael Jay Pepe

By Gregory Tendrich, P.A. |

Michael Jay Pepe (CRD: 1172861) is an Ameriprise Financial Services, Inc. broker based in the Tampa, Florida area. According to Pepe’s FINRA BrokerCheck profile, he is currently, or was previously, the subject of at least six customer-initiated, investment-related disputes (comprised of complaints or arbitrations) containing allegations of sales practice violations including unauthorized and unsuitable… Read More »

SEC Shuts Down $102 Million Ponzi Scheme

By Gregory Tendrich, P.A. |

The Securities and Exchange Commission today filed charges and obtained an asset freeze against the individuals and companies behind a $102 million Ponzi scheme that bilked investors throughout the U.S. According to the SEC’s complaint, the defendants defrauded more than 600 investors through sales of securities in issuers they controlled, including First Nationle Solution… Read More »

SEC Files Complaint Against Brokers Christopher S. Laws, Jonathan D. Cooke, Danny S. Hood and Brandon P. Long at Keystone Capital Partners, Inc. d/b/a Federal Employee Benefit Counselors

By Gregory Tendrich, P.A. |

The Securities and Exchange Commission today charged four former Atlanta-area brokers with fraudulently inducing federal employees to roll over holdings from their federal Thrift Savings Plan (TSP) retirement accounts into higher-fee, variable annuity products. The SEC’s enforcement action comes at a time when the agency has been focusing more specifically on brokers’ and advisers’… Read More »

Deciding if a Financial Adviser Is Right for the Job

By Gregory Tendrich, P.A. |

By PAUL SULLIVAN JUNE 10, 2016 A few years ago, the board that administers the certified financial planner designation decided to test the idea that investors will ask pointed questions of a prospective adviser and not be fooled by a slick presentation. So the Certified Financial Planner Board of Standards hired a professional D.J…. Read More »

FINRA Sanctions MetLife Securities, Inc. $25 Million for Negligent Misrepresentations and Omissions in Connection With Variable Annuity Replacements

By Gregory Tendrich, P.A. |

If you invested in a MetLife variable annuity and have suffered losses or have questions regarding this investment, please call for a free consultation at 561-475-1332 today. In addition to MetLife variable annuities, we regularly handle cases involving unsuitable investments, churning, hedge funds, Ponzi schemes, securities arbitration, broker fraud, misrepresentation, exploitation of the elderly, and… Read More »

Investor Bulletin: 10 Investment Tips for 2016

By Gregory Tendrich, P.A. |

Whether you are a first-time investor or have been investing for years, here are ten tips from the SEC’s Office of Investor Education and Advocacy to help you make more informed investing decisions and avoid common scams in 2016. Always check the background of an investment professional − it is easy and free. Details… Read More »

Gregory Tendrich, PA
Gregory Tendrich, P.A. serves clients throughout Florida, including the cities of West Palm Beach, Palm Beach, Delray Beach, Boynton Beach, Boca Raton, Port St. Lucie, Lake Worth, Wellington, Riviera Beach, Palm Beach Gardens, Fort Pierce, Vero Beach, Hobe Sound, Jupiter Island, North Palm Beach, Lake Park, Lantana, Stuart, Palm City, Jensen Beach, Tequesta and Juno Beach and represents clients in Palm Beach County, Martin County, St. Lucie County, Indian River County and throughout Florida.

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