Securities Fraud

Securities fraud, also known as stock fraud and investment fraud, is a deceptive practice in the stock or commodities markets that induces investors to make purchase or sale decisions on the basis of false information, frequently resulting in losses, in violation of securities laws. Offers of risky investment opportunities to unsophisticated investors who are unable to evaluate risk adequately and cannot afford loss of capital is a central problem.Securities fraud can also include outright theft from investors (embezzlement by stockbrokers), stock manipulation, misstatements on a public company's financial reports, and lying to corporate auditors.
Posts about Securities Fraud
  • The Different Types of White-Collar Crime Laws in Texas

    … includes a range of non-violent crimes that the offender typically commits to attaining financial gains. Have you been accused of a white-collar crime in Texas? Contact The Law Office of Matthew D. Sharp today >> Overview of White-Collar Crime White-collar criminal offenses may include: Healthcare fraud Insider trading (securities fraud…

    The Law Office of Matthew D. Sharp- 9 readers -
  • Former Texas Registered Rep Arrested for Internet Ponzi Scheme

    … Former Texas Registered Rep Arrested for Internet Ponzi Scheme Posted on Wednesday, February 8, 2017 at 9:31 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Former registered rep Bobby Eugene Guess was arrested following his indictment on charges of securities fraud, theft, money laundering and engaging in organized criminal activity…

    Eccleston Law Offices- 11 readers -
  • FINRA Discipline: FINRA Rule 9232

    … also practice a variety of other areas of securities for financial investors including securities fraud, unauthorized trading, breach of fiduciary duty, retirement planning negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services…

    Eccleston Law Offices- 14 readers -
  • Auditors Charged After Failing to Detect Fraud

    … represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including securities fraud, unauthorized trading, breach of fiduciary duty, retirement planning negligence, and much more. Our attorneys draw on a combined…

    Eccleston Law Offices- 9 readers -
  • NY Pension “Pay to Play” Scheme Examined (FCPA Post)

    … on December 15th for his role in the alleged scheme. The charges he pled to include: conspiracy to commit securities fraud; securities fraud; conspiracy to commit honest services wire fraud; honest services wire fraud; bank fraud; and conspiracy to obstruct justice in the SEC investigation. It appears that he is cooperating in the case against Kang…

    Due Diligence- 13 readers -
  • Platinum Partners Hedge Fund Ponzi – Where Are the Banks?

    … Platinum Partners hedge fund is beginning to look like a Ponzi scheme. A very large Ponzi scheme. The New York Times says it could be one of the largest since Bernie Madoff. As much as $1 billion may be missing. On the heels of so many losses, the FBI moved in this week and arrested 7 people they say are behind the scheme. Included…

    Due Diligence- 9 readers -
  • FINRA Discipline: FINRA Rule 9221

    …. The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including unauthorized trading, securities fraud, breach of fiduciary duty, retirement planning negligence, and much more. Our…

    Eccleston Law Offices- 9 readers -
    Earlier about the same topic:
  • FINRA Panel Orders Ex-Broker to Pay $260K for Overstating Production

    … FINRA Panel Orders Ex-Broker to Pay $260K for Overstating Production Posted on Friday, December 16, 2016 at 1:00 PM From the Desk of Jim Eccleston at Eccleston Law LLC: A FINRA arbitration panel has ordered an ex-broker from Sarasota, Florida named Donald Lee Watson, Jr. to pay Jeffrey Matthews Financial Group an amount of $260,000…

    Eccleston Law Offices- 15 readers -
  • FINRA Discipline: FINRA Rule 9220

    … for financial investors including unauthorized trading, securities fraud, breach of fiduciary duty, retirement planning negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today. Tags: Eccleston, Eccleston Law, Eccleston Law LLC, James Eccleston, FINRA, FINRA Rule 9220, FINRA disciplinary process, hearing panel, hearing officer, postponements, …

    Eccleston Law Offices- 10 readers -
  • FINRA Discipline: FINRA Rule 9215

    … shown by the respondent to grant the motion to amend the answer. The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including unauthorized trading, securities fraud…

    Eccleston Law Offices- 17 readers -
  • Ex-Wells Fargo Adviser Receives 2-Year Suspension

    … Ex-Wells Fargo Adviser Receives 2-Year Suspension Posted on Friday, December 9, 2016 at 10:28 AM From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has charged a former Wells Fargo adviser named Jack Donnarumma from White Plains, New York, with allegedly misrepresenting himself as a Wells Fargo personal banker and bank officer when…

    Eccleston Law Offices- 18 readers -
  • FINRA Discipline: FINRA Rule 9214

    … at Eccleston Law also practice a variety of other areas of securities for financial investors including unauthorized trading, securities fraud, breach of fiduciary duty, retirement planning negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today. …

    Eccleston Law Offices- 11 readers -
  • Connecticut Man Pleads Guilty in Securities Fraud Scheme

    … Connecticut Man Pleads Guilty in Securities Fraud Scheme Posted on Monday, November 28, 2016 at 9:14 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Christian Meissenn, also known as “Christian Nigohossian,” from Suffield, Connecticut pled guilty to one count of conspiracy to commit mail and wire fraud and one count of tax evasion…

    Eccleston Law Offices- 12 readers -
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