A $20 Million Fraud Charge

Posted by admin | 09.01.2017 | Articles

Dawn Bennett’s career as a financial adviser came to a sudden halt last year after SEC Lawyers claimed that she was unfit for any role in the securities industry. Administrative Law Judge James E. Grimes agreed, barred her from the industry and ordered her to pay more than $4 million in penalties and disgorgement due […]

SEC Charges ex-Nomura Traders

Posted by admin | 07.14.2017 | Articles

The Securities and Exchange Commission (SEC) recently filed suit against Kee Chan and James Im alleging that they deliberately misleading customers with false price information for bonds while acting as mediators on trades. According to the Complaint, they pretended to still be negotiating bond purchases with a third-party seller at a higher cost when they […]

Protecting Your Financial Future Part 2: Types of Investment and Advisor Misconduct

Posted by admin | 04.21.2017 | Articles

Regardless of the title used by an investment professional, the fact of the matter is that most investors place substantial confidence in their own advisor. They rely on him or her to manage the investor’s account in a professional and prudent manner to maximize the amount that will ultimately be available for retirement. But there […]

Protecting Your Financial Future Part 1: Who are Investment Professionals and What Do They Do

Posted by admin | 04.17.2017 | Articles

Who are Investment Professionals and What Do They Do It used to be said that for most Americans, their largest asset was their home. That statement is probably no longer correct. 401K plans and retirement accounts are now the largest asset that most Americans have, with many retirement and other investment plans running into the […]

DOJ Edict Muddies Roles

Posted by admin | 02.12.2017 | Articles

In September, Deputy Attorney General Sally Yates issued a now-famous “Yates Memo” in response to criticism that the Department of Justice was too easy in its treatment of corporate employees in criminal prosecutions. In the memo, the DOJ requires a corporation to assist in the prosecution of its employees, in essence, requiring “scalps” before it […]

The Right Experience: A Guide for Retaining White Collar Defense Counsel in the United States

Posted by admin | 01.23.2017 | Articles

A Guide for Retaining White Collar Defense Counsel in the United States.