Tagged with "investment"

Virginia Investment Adviser Charged With Operating $5 Million Ponzi Scheme

Posted on July 13th, 2018 at 3:26 PM
Virginia Investment Adviser Charged With Operating $5 Million Ponzi Scheme

On July 3, Virginia investment adviser, Edward Lee Moody was charged by the SEC for running a $5 million Ponzi scheme.

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Former Investment Adviser Indicated for Defrauding Massachusetts Retirees

Posted on October 17th, 2017 at 1:03 PM
Former Investment Adviser Indicated for Defrauding Massachusetts Retirees

Former investment adviser, Richard G. Cody, of Jacksonville, Florida has been indicted for allegedly defrauding Massachusetts retirees, as well as for lying to the SEC under oath.

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SEC Settles Lawsuit with Texas Resident Accused of Running an Investment Scam

Posted on September 29th, 2017 at 9:08 AM
 SEC Settles Lawsuit with Texas Resident Accused of Running an Investment Scam

The SEC has settled a lawsuit with Texas resident, James G. Temme along with his company, Stewardship Fund LP allegedly for operating a $25 million fraudulent investment scheme with 100 different individual investors.

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Former Texas Registered Rep Arrested for Internet Ponzi Scheme

Posted on February 8th, 2017 at 9:31 AM
Former Texas Registered Rep Arrested for Internet Ponzi Scheme

Former registered rep Bobby Eugene Guess was arrested following his indictment on charges of securities fraud, theft, money laundering and engaging in organized criminal activity related to the multi-million-dollar sale of investments in an internet advertising company.

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2015: A Bad Year for Hedge Funds

Posted on January 7th, 2016 at 4:42 PM
2015: A Bad Year for Hedge Funds

Hedge fund managers are often considered the leading investment experts in the world, but 2015 has shown that a million dollar salary is no guarantee of investment success. As of October, hedge funds are up only 3.09% compared to the 3.04% for the S&P 500. 

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Wirehouse Advisors' Tactical Play on Currency ETFs

Posted on May 7th, 2015 at 12:02 PM
Wirehouse Advisors' Tactical Play on Currency ETFs

According to a top investment strategist at Bank of America Merrill Lynch, more financial advisers are investing in funds that access European stocks while muting currency swings. That’s because the European Central Bank began a “quantitative easing” program that will inject a planned €1.1 trillion into the economy by September 2016.   

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Deferred Compensation Is the New Black For Wirehouses Payment Grid

Posted on February 18th, 2015 at 10:30 AM
Deferred Compensation Is the New Black For Wirehouses Payment Grid

Many wirehouses have deferred compensations for their advisors. Even though the whole grids were largely left intact, compensation is inarguably more back loaded, and therefore somewhat less valuable.

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LATEST NEWS AND ARTICLES

June 23, 2022
Former Credit Suisse Advisor Prevails in Deferred Compensation Claim

A former Credit Suisse advisor has prevailed on a $2.2 million arbitration claim after alleging that the firm improperly withheld his deferred compensation when it discontinued its U.S. brokerage business in 2015. 

 
 
June 23, 2022
Eccleston Law LLC Investigates Recovery Options for NRIA Investors

Headquartered in Secaucus, NJ, National Realty Investment Advisors (NRIA) recently declared bankruptcy amid investor redemption requests, federal and state investigations, and unsustainable debt.

 
 
June 22, 2022
SEC Charges Three Additional Advisors for Recommending Horizon Ponzi Scheme to Investors

The Securities and Exchange Commission (SEC) has filed suit against Michael Mooney, Britt Wright, and Penny Flippen pertaining to their engagement with a Ponzi scheme, which raised at least $110 million from nearly 400 investors.