Tagged with "Inc."

Supreme Court Rules in Lorenzo v. SEC

Posted on July 17th, 2019 at 2:28 PM
Supreme Court Rules in Lorenzo v. SEC

On March 27, 2019, the Supreme Court issued its opinion in Lorenzo v. SEC, affirming the decision of the United States Court of Appeals for the District of Columbia. The Court held that "dissemination of false or misleading statements with intent to defraud can fall within the scope" of SEC Rule 10b-5(a) and (c) even if the disseminator did not "make" the statements.

Read More »

Stockbroker Pleads Guilty in Securities Fraud

Posted on November 12th, 2016 at 9:00 AM
Stockbroker Pleads Guilty in Securities Fraud

A Boca Raton, Florida stockbroker named Gerald Cocuzzo who worked at Newbridge Securities Corporation, has pled guilty to participating in a $131 million securities fraud and could face up to 20 years in prison. 

Read More »

Bad News for Nicholas Schorsch’s RCS Capital Corp. (RCAP)

Posted on December 10th, 2015 at 8:53 AM
Bad News for Nicholas Schorsch’s RCS Capital Corp. (RCAP)

Nicholas Schorsch has been considered a pioneer in alternative investment since he founded his brokerage holding company RCS Capital Corp. (RCAP). Not more than two years ago he compared RCAP to Wall Street greats Merrill Lynch and Raymond James Financial, Inc. 

Read More »

TESTIMONIALS

Previous
Next

I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.

Dan M.

LATEST NEWS AND ARTICLES

April 18, 2024
SEC Fines Target Off-Channel Communications

The Securities and Exchange Commission (SEC) is ramping up its enforcement efforts targeting off-channel communications, particularly text messages, among investment advisory firms.

April 17, 2024
B. Riley Financial Again Delays Filing Audited Results

B. Riley Financial Inc. has encountered a setback in filing its audited results within an extended timeframe, adding to existing pressure amid concerns raised by short sellers regarding its association with a former business partner.

April 16, 2024
Former Wells Fargo Advisor Accepts Industry Bar Amidst Misuse of Client Funds Allegations

A former advisor with Wells Fargo Advisors Financial Network (FiNet) in Chicago, Jayson R. Pocius, has agreed to accept an industry bar rather than cooperate with a
Financial Industry Regulatory Authority (FINRA) investigation into allegations of misusing client funds.