Tag Archives: Florida Securities Fraud Attorney
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
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 »
FINRA Sanctions MetLife Securities, Inc. $25 Million for Negligent Misrepresentations and Omissions in Connection With Variable Annuity Replacements
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 »
Is Your Investment Advisor Really “Conflict-Free”?
Investment advisors have a legal obligation to disclose any conflicts of interest which may affect their clients’ accounts. All registered investment advisors must file a disclosure statement, known as Form ADV, with the SEC and state regulators describing any brochures or other solicitations used to attract clients. Form ADV must include any statements regarding… Read More »
SEC, California Prosecutors Expose $2.6 Million Ponzi Scheme
Investors should always be cautious when dealing with unregistered investment advisors. Registration with the U.S. Securities and Exchange Commission and state officials are important tools that provide investors with access to critical information. It is far too easy for scammers to lure unsuspecting investors with fake credentials and non-existent investment products. SEC v. Moore… Read More »
