Current Securities Fraud Investigations

FINRA Fines Merrill Lynch

The Financial Industry Regulatory Authority (FINRA) announced recently that it fined Merrill Lynch, Pierce, Fenner & Smith Inc. $1.05 million for failing to provide best execution in certain customer transactions involving non-convertible preferred securities.  The fine was also for failing to … Read more...

Losses in Private Placements or Non-Traded REITS

The Law Offices of Place & Hanley, PLLC is investigating the following Private Placements or Non-Traded REITS: G REIT  Cornerstone Industrial Properties, LLC  Powder River Basin Tax Advantaged Income Fund III, LLC  Platinum Energy Partners 2004-C LP  Platinum Energy Partners … Read more...

SEC Charges Wells Fargo for Selling Complex Investments Without Disclosing Risks

FINRA arbitration lawyers, Place and Hanley, PLLC with offices in North Carolina and Florida currently represent Wells Fargo brokerage investors and investors with losses in Collateralized Debt Obligations (CDOs).  CDOs are a type of structured asset-backed security (ABS) with multiple “tranches” that are issued … Read more...

FINRA Sanctions Brokerage Firms for Sales of Leveraged and Inverse Exchange-Traded Funds

Stock and investment fraud lawyers, Place and Hanley, PLLC with offices in North Carolina and Florida currently represent investors with losses in Exchange Traded Funds (ETFs).  The Financial Industry Regulatory Authority (FINRA) announced in May that it sanctioned four brokerage firms … Read more...

Lawyers Investigate Morgan Stanley Broker Anthony J. Fisher

Stock and investment fraud lawyers, Place and Hanley, PLLC with offices in North Carolina and Florida are currently investigating claims relating to financial advisor Anthony J. Fisher. The Law Firm is investigating the suitability of investment recommendations made by Anthony … Read more...

Lawyers Investigate Stifel Nicolaus Broker Anthony J. Fisher

Stock and investment fraud lawyers, Place and Hanley, PLLC with offices in North Carolina and Florida are currently investigating claims relating to financial advisor Anthony J. Fisher. The Law Firm is investigating the suitability of investment recommendations made by Anthony … Read more...

Law Firm Investigates Peregrine Financial Group, Inc.

Commodities Lawyers, Place and Hanley, PLLC with offices in North Carolina and Florida are currently investigating claims relating to Peregrine Financial Group, Inc. and introducing broker-dealers. Attorney Randall C. Place was interviewed in an article in the Orlando Sentinel.  See … Read more...

Regulators Take an Emergency Enforcement Action Against Peregrine Financial Group and Peregrine Asset Management

National Futures Association took an emergency enforcement action against Peregrine Financial Group, Inc. (PFG), an NFA Member futures commission merchant (FCM) and Forex Dealer Member (FDM) and Peregrine Asset Management, Inc. (PAM), an NFA Member commodity trading advisor (CTA) and … Read more...

Do You Trust Your Financial Advisor or Stockbroker?

Florida and North Carolina Bad Investment Loss Lawyers, Place and Hanley have represented investors in cases involving financial advisors and stockbrokers.  Chances are that you have seen the television program “American Greed.”  The show airs on CNBC featuring famous scams … Read more...

FINRA Issues Investor Alert: Exchange-Traded Notes—Avoid Unpleasant Surprises

Florida and North Carolina Bad Investment Loss Lawyers, Place and Hanley have represented investors in cases involving Exchange Traded Funds (“ETF”).  The Financial Industry Regulatory Authority (“FINRA”) has issued an investor alert regarding Exchange Traded Notes (“ETN”). ETNs are a … Read more...

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