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Articles Tagged with SEC

As the COVID-19 crisis wreaks havoc on the financial markets and unscrupulous individuals try to capitalize on the vulnerability of investors to make a quick buck, the Securities and Exchange Commission has suspended trading in over 20 stocks, according to Law360. The majority of these stocks traded on the Over-the-Counter (OTC) Markets.  The OTC Market […]

As panic over COVID-19 spreads across the country, one company has capitalized on the panic—and come under fire from the Securities and Exchange Commission, according to an April 8, 2020 report from NPR. Wellness Matrix Group sold what they claimed were at-home COVID-19 tests, asserting that their test kits were “FDA vetted and approved.” But […]

As the coronavirus pandemic rages on, forcing Americans to work from home on an unprecedented scale, there has been increased interest in teleworking technology, specifically videoconferencing software. As COVID-19 hammers the stock market, there is one company—and one stock—that everyone is talking about: Zoom Video Communications. Founded in 2011 by Eric Yuan, Zoom has become […]

On February 12, 2020, the Securities and Exchange Commission (SEC) charged Criterion Wealth Management Insurance Services, Inc. and its then co-owners Robert Gravette and Mark MacArthur with defrauding their advisory clients by convincing their clients to invest in certain investments but then hiding the fact that they were receiving additional compensation from the investment fund […]

On December 4, 2019, the Securities and Exchange Commission (SEC) charged Lester “Chad” Burroughs (CRD#: 1413972), with defrauding investors of $560,000. Chad Burroughs is a former registered representative and investment advisor representative of Lincoln Investment Planning LLC, as well as a former investment adviser representative of Capital Analysts LLC. The SEC alleges that Chad Burroughs […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former Washington-based Independent Financial Group broker Gary Arford has been permanently barred from acting as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

According to a report published in the Wall Street Journal on June 21, 2016, the Securities and Exchange Commission (SEC) is preparing to take civil action against Merrill Lynch in connection to an investment called Strategic Return Notes that reportedly declined “as much as 95% in value and was marketed in a way that one […]

According to public records and the Los Angeles Times, energy developer SunEdison has filed for bankruptcy. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments in SunEdison (NYSE: SUNE). In a report published on May 4th, 2016, the LA Times stated that the US-based […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 20, 2016 indicate that former Missouri-based AXA Advisors broker Michael Ott is the subject of a regulatory investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ott (CRD# 5131748). Michael […]

Arizona-based Sagepoint Financial broker Frederick Fischer is the subject of denied customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Fischer (CRD# 2317795). Frederick Fischer has spent twenty years in the securities industry and has been registered with Sagepoint Financial in Chandler, […]

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