Tagged with "Investment Fraud"

Robert Shapiro, Ex-Woodbridge Group CEO Pleads Guilty in $1.3 Billion Fraud

Posted on August 26th, 2019 at 1:46 PM
Robert Shapiro, Ex-Woodbridge Group CEO Pleads Guilty in $1.3 Billion Fraud

Robert Shapiro, the former CEO of Woodbridge Group of Companies, has pled guilty to criminal charges as a result of running a $1.3 billion investment fraud that caused more than 7,000 investors to lose money.

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SEC Hosts Roundtable on Combating Elder Investment Fraud

Posted on August 9th, 2019 at 5:15 PM
SEC Hosts Roundtable on Combating Elder Investment Fraud

The Securities and Exchange Commission will host a roundtable on combating elder investor fraud on October 3, 2019.

 

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SEC Charges Three Texas Businessmen with Orchestrating $45 Million Real Estate Investment Fraud

Posted on January 30th, 2019 at 4:22 PM
SEC Charges Three Texas Businessmen with Orchestrating $45 Million Real Estate Investment Fraud

The SEC has charged Texas real estate developer Philip Michael Carter, investment manager Bobby Eugene Guess and his employee Richard Tilford with persuading hundreds of individuals to invest in real estate development companies and then using their funds to pay for personal expenses.

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Missouri Elder Fraud Law Sets Example for States

Posted on March 3rd, 2016 at 9:23 AM

Six months after taking effect, Missouri’s new law protecting seniors from financial exploitation is having a noticeable impact. “People are telling us that as they’re getting older, they are able to invest with more confidence,” stated Missouri Secretary of State Jason Kander. 

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NFL Star Dwight Freeney Sues Bank of America for Negligence

Posted on April 7th, 2015 at 9:54 AM
NFL Star Dwight Freeney Sues Bank of America for Negligence

NFL star Dwight Freeney is suing Bank of America and a Merrill Lynch financial adviser Michael Bock for allegedly defrauding him of over $20 million in an investment fraud.

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Indianapolis Financial Advisor Pleads Guilty to Investment Fraud

Posted on November 18th, 2014 at 4:31 PM

Kevin James, an independent financial advisor in Indianapolis, has been sentenced to 10 years in prison for orchestrating an investment fraud.

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LATEST NEWS AND ARTICLES

September 22, 2023
State Regulators Maintain Opposition to FINRA's Remote Supervision Pilot Program

The North American Securities Administrators Association (NASAA) and the Public Investor Advocate Bar Association (PIABA) has consistently opposed the Financial Industry Regulatory Authority's (FINRA) proposal for a voluntary three-year pilot program for remote inspections.

September 21, 2023
SEC Charges Private Equity Firm Over Fee Disclosure Failures to Affiliate

The Securities and Exchange Commission (SEC) has charged Prime Group Holdings LLC, a private equity firm specializing in alternative real estate asset investments, with
inadequate disclosure of millions of dollars in real estate brokerage fees paid to a brokerage firm owned by its CEO.

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).