Switch to ADA Accessible Theme
Atria Wealth Solutions Advisors to receive Retention Bonus offers from sale to LPL Financial - Speak to an experienced attorney NOW! Learn More
Florida Investment & Securities Lawyer
Call to Schedule a Consultation

Tag Archives: Boca Raton Stock Broker Fraud Lawyers

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 »

Ex-California Broker Stole Millions from Trust Clients

By Gregory Tendrich, P.A. |

Many people establish a living trust to manage their assets. A trust is an estate planning device where a person transfers their assets to a trustee. The trustee can be the same person who established the trust or it can be someone else. Whoever the trustee is, he or she must manage the trust… Read More »

SEC Charges Rhode Island Broker With Running $11 Million Ponzi Scheme

By Gregory Tendrich, P.A. |

On May 7, the U.S. Securities and Exchange Commission charged a Rhode Island investment adviser with running what amounted to a Ponzi scheme. The SEC alleges Patrick Churchville used his one-man company, ClearPath Wealth Management, LLC, to defraud investors out of millions of dollars. The SEC has asked a federal judge in Providence to… Read More »

SEC, Prosecutors Charge JPMorgan Adviser With Embezzling $20 Million In Client Funds

By Gregory Tendrich, P.A. |

On April 16, the U.S. Securities and Exchange Commission and federal prosecutors in New York City charged a former JPMorgan Chase investment advisor with defrauding clients out of more than $20 million. The New York Times reported JPMorgan officials “alerted federal authorities to the apparent theft and misuse of client money.” The accused, Michael… Read More »

Supreme Court Says Company May Be Sued For Omitting Facts Which Contradict “Opinions”

By Gregory Tendrich, P.A. |

On March 24, the U.S. Supreme Court issued a major decision related to securities fraud. The justices addressed the legal standards necessary for shareholders to sue companies for allegedly misleading statements contained in official securities filings. The Court’s decision opens the door for a more permissive standard that could benefit shareholders in the long… Read More »

SEC Cites “Lax” Oversight in Illegal “Trading Profits” Case

By Gregory Tendrich, P.A. |

Investors should always be on the lookout for brokers who add charges to their stated commissions. Securities fraud does not always involve Ponzi schemes or people selling fictitious investments. Many times, there is fraud in routine, everyday transactions where a seemingly legitimate broker takes markups on trades without telling the investor. SEC v. Lax… Read More »

SEC Fines Broker $10 Million for Laundering Penny Stocks

By Gregory Tendrich, P.A. |

On January 27th, the U.S. Securities and Exchange Commission said New York-based broker Oppenheimer & Co., Inc., admitted to multiple violations of federal securities laws and agreed to pay a $10 million civil penalty. The SEC’s order cited two series of illegal activities by Oppenheimer. Both involved Oppenheimer acting as an intermediary for unregistered… Read More »

SEC Charges Fort Lauderdale Broker With Running Ponzi Scheme

By Gregory Tendrich, P.A. |

On January 15th, the U.S. Securities and Exchange Commission filed a civil lawsuit against a Fort Lauderdale man and various entities under his control. The SEC accuses Frederic Elm of running a Ponzi scheme, defrauding dozens of investors out of more than $17 million. A federal judge has already agreed to freeze Elm’s assets… Read More »

SEC Charges Ex-CEO With Leaking Confidential Information to Restaurant Manager

By Gregory Tendrich, P.A. |

On Nov. 21, the U.S. Securities and Exchange Commission announced two men had agreed to settle insider trading charges related to the buying and selling of shares of GenTek, Inc., a company that produces chemical products and engine components. Prior to its 2009 acquisition by a private equity form, GenTek was publicly traded on… Read More »

Top Firms Settle with SEC over Puerto Rican Junk Bonds

By Gregory Tendrich, P.A. |

The U.S. Securities and Exchange Commission announced this week that 13 top financial firms have settled charges against them alleging that they inappropriately sold Puerto Rican junk bonds to retail investors. The firms, including Charles Schwab, JP Morgan, and UBS, have all agreed to pay penalties ranging between $54,000 and $130,000, without admitting any… 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.

Our Location

3010 N. Military Trail, Suite 210
Boca Raton, FL 33431

Telephone: 561-417-8777
Fax: 561-417-8700

The information you obtain at this site is not, nor is it intended to be, legal advice. You should consult an attorney for individual advice regarding your own situation.

No content on this site may be reused in any fashion without written permission from www.YourStockLawyer.com

MileMark Media - Practice Growth Solutions

© 2015 - 2024 Gregory Tendrich, P.A. All rights reserved.
This law firm website & legal marketing is managed by MileMark Media.

Contact Form Tab