Month: July 2017
Many brokerage firms have been promoting non-purpose loans, resulting in abusive sales practices and supervisory violations associated with the aggressive marketing of these lending arrangements. Brokerage firms suggesting that investors borrow against their securities to originate non-purpose loans has been at a number of large brokerage firms including Morgan Stanley, UBS, Wells Fargo and Bank […]Read Post
Where do North American investors go when looking for their state or province specific securities regulators? The organization ServeOurSeniors.org maintains a state-by-state resource for consumers and investors in all fifty states, as well as all of the 10 Canadian Provinces and 3 Canadian Territories. We offer a free initial consultation to investors from all 50 […]Read Post
Award of More Than One Half Million to SEC Whistleblower In a Press Release dated May 2, 2017, the SEC announced the payment of a Whistleblower award in excess of one half million dollars to a company employee who provided specific information disclosing a fraudulent practice. In the release, the SEC stated that “the discovery […]Read Post
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