Tagged with "Investors"

Six Ohio Residents Defrauded Investors

Posted on November 10th, 2016 at 9:08 AM
Six Ohio Residents Defrauded Investors

The owners of KGTA Petroleum, Ltd, Kenneth Grant of Copley, Ohio and Thomas Abdallah of Brunswick, Ohio, were sentenced to prison for their roles in a conspiracy to defraud about 70 investors out of approximately $17 million from 2010 to 2014. 

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SEC Bars Advisor for Alleged Role in $15M Ponzi Scheme

Posted on November 4th, 2016 at 12:07 PM
SEC Bars Advisor for Alleged Role in $15M Ponzi Scheme

The SEC has barred the President, Treasurer, Chief Compliance Officer and shareholder of Veros Partners, Inc. named Matthew D. Haab, pursuant to Section 203(f) of the Advisors Act. 

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SEC Hits Troubled Texas REIT with Wells Notice

Posted on October 28th, 2016 at 9:08 AM
SEC Hits Troubled Texas REIT with Wells Notice

The Securities and Exchange Commission has issued a Wells notice against troubled Texas real estate investment trust United Development Funding IV (UDF IV) as well as certain individuals associated with the REIT. 

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Merrill Moves to End Commission IRAs

Posted on October 25th, 2016 at 8:56 AM
Merrill Moves to End Commission IRAs

In response to the Department of Labor’s fiduciary rule, which is set to begin on April 10, 2017,  Merrill Lynch has decided to end its commission IRA business.  

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SEC Investor Alert

Posted on October 14th, 2016 at 9:08 AM
SEC Investor Alert

The SEC's Office of Investor Education and Advocacy has recently issued a warning to investors  who receive lump sum payments from insurance companies following the recent damage from Hurricane Matthew. 

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QED Benchmark Management Agrees to Reimburse Investor Losses

Posted on February 18th, 2016 at 12:37 PM
QED Benchmark Management Agrees to Reimburse Investor Losses

On January 28th the Securities and Exchange Commission announced that a Manhattan based investment advisory firm, along with its Toronto based hedge fund manager, has settled charges involving the issuance of misleading information to investors regarding strategy and past performance.

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Do You Know How Your Alternative Investments Work?

Posted on October 9th, 2015 at 11:35 AM
Do You Know How Your Alternative Investments Work?

The rapid innovation in the financial field gives investors numerous ways to achieve their goals. However, these new plethora of options have also exposed products hidden risks.

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Investors Continue to Avoid High-Yield Bonds Despite New Cash Infusion

Posted on January 29th, 2015 at 4:00 PM

The European Central Bank announced a new $1.1 trillion euro bond-buying program last week. The goal of the new program was to push investors back into the market to buy risky corporate debt.

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Kim Chavers Representing Eccleston Law LLC on Let's Talk Law

Posted on January 28th, 2015 at 5:01 PM

Listen to Kim Chavers' January 16th represent Eccleston Law LLC, during her interview on "Let's Talk Law!" Now available on Podcast!

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TESTIMONIALS

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Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

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