Tagged with "New Jersey"

GPB Capital Announces Sale of Land in New Jersey

Posted on April 19th, 2022 at 8:31 AM
GPB Capital Announces Sale of Land in New Jersey

GPB Capital Holdings announced that it has sold land in New Jersey that was previously owned by one of its private placement funds.

 
 

Read More »

New Jersey Man Charged by SEC in Familiar Trading Fraud

Posted on September 11th, 2020 at 2:02 PM
New Jersey Man Charged by SEC in Familiar Trading Fraud

The U.S. Securities and Exchange Commission (“SEC”) has charged RRBB Asset Management, LLC, (“RRBB”) and its president, Carl Schwartz, with fraud. RRBB is based in Maplewood, New Jersey.

Read More »

SEC Bars New Jersey Investment Adviser Running Ponzi Scheme to Fund Gambling Habit

Posted on April 8th, 2019 at 5:12 PM
SEC Bars New Jersey Investment Adviser Running Ponzi Scheme to Fund Gambling Habit

The SEC has obtained a final judgment against investment adviser Scott Newsholme of Farmingdale, New Jersey for allegedly defrauding elderly clients in a $3.8 million Ponzi-like scheme.

Read More »

New Jersey Adviser Accused of Running a Ponzi Scheme to Fund Gambling Habit

Posted on September 25th, 2017 at 3:39 PM
New Jersey Adviser Accused of Running a Ponzi Scheme to Fund Gambling Habit

The SEC has filed a lawsuit against adviser Scott Newsholme of Farmingdale, New Jersey for allegedly defrauding elderly clients in a $1 million Ponzi-like scheme.

Read More »

Former UBS Broker Pleads Guilty to $1 Million Securities Fraud

Posted on March 24th, 2015 at 11:34 AM
Former UBS Broker Pleads Guilty to $1 Million Securities Fraud

A former UBS broker from New Jersey pled guilty for stealing over $1 million from a retired pediatrician and his wife by fraudulently soliciting them to invest in his purported hedge fund, RKS Capital, LP.

Read More »

TESTIMONIALS

Previous
Next

I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

LATEST NEWS AND ARTICLES

April 24, 2024
RIA Insurance Claims Skyrocket

A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.

April 23, 2024
Surge Predicted in Regulation Best Interest Cases

According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.

April 22, 2024
FINRA Fines Independent Broker-Dealers Over Cybersecurity Lapses

The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.