Tagged with "scams"

SEC Issues Investor Alert for Covid-19-Related Scams

Posted on December 15th, 2020 at 10:49 AM
SEC Issues Investor Alert for Covid-19-Related Scams

In an Investor Alert email sent out on December 14, the U.S. Securities and Exchange Commission (“SEC”) warned of an increase in investment scams related to COVID-19.

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LPL Agrees to Pay Victims of Alleged Scam by Former Advisor

Posted on August 12th, 2020 at 1:29 PM
LPL Agrees to Pay Victims of Alleged Scam by Former Advisor

In a previous blog post, we discussed an alleged scam perpetuated by formed LPL Financial advisor, Dain F. Stokes. In the scheme, Stokes allegedly solicited money for an African charity project with ties to Taylor Swift. Now, LPL has agreed to compensate victims of Stokes’ alleged scam.

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Advisors’ Role in Helping Clients Avoid Scams

Posted on December 25th, 2019 at 10:00 AM
Advisors’ Role in Helping Clients Avoid Scams

More and more individuals are falling victim to financial scams, and advisors should take steps to help clients avoid becoming a victim.  This is especially true for elderly clients. The holiday season can make clients particularly vulnerable to certain schemes, such as those related to online shopping or charitable giving. 

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If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

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