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Get some of the latest news in Securities Fraud, Class Actions, Ponzi Schemes from Starr Austen & Miller.

Class Actions

SEC Sues Trucking Co. Exec Over Vehicle-Swapping Scheme
SEC Sues Trucking Co. Exec Over Vehicle-Swapping Scheme
By Reenat Sinay of Law360.com The president of a major trucking company subsidiary defrauded investors by hiding losses through a
Read more.
3rd Circuit Revives ERISA Class Action Against UPenn
3rd Circ. Revives ERISA Class Action Against UPenn
By Emily Brill for Law360.com The Third Circuit breathed new life into a proposed Employee Retirement Income Security Act class
Read more.
Investors say ex-‘Fox & Friends’ host turned them into unwitting slumlords
Investors say ex-‘Fox & Friends’ host turned them into unwitting slumlords
By: Tim Evans and Tony Cook, Indianapolis Star In court filings and responses to online complaints, Morris contends he merely
Read more.
SEC's Self-Report Project Nabs $125M In Deals With 79 Firms
SEC’s Self-Report Project Nabs $125M In Deals With 79 Firms
By Rachel Graf of Law360.com Seventy-nine investment advisers that self-reported steering clients to funds with relatively high fees have agreed
Read more.
Based on an analysis of FINRA’s monthly disciplinary reports, press releases and online database, the fines reported by FINRA in 2018 increased slightly to $68 million from $65 million in 2017, a 5 percent jump, yet were down significantly (61 percent) from the record-setting fines of $176 million in 2016.
FINRA’s Recent Enforcement Actions Pack A Hard Punch
By Brian Rubin, Adam Pollet, Rebekah Runyon and Gregory Amoroso for Law360.com A review of the disciplinary actions brought by the Financial Industry
Read more.
Fiduciary Duty Rule by Scott L. Starr, Partner
Fiduciary Duty Rule by Scott L. Starr, Partner
Law 360’s Allison Noon recently published an article entitled “Facing Fiduciary Duty, Brokers Threaten to Exit Nevada” (included below).  According to
Read more.
Former powerhouse investment broker Buck sentenced to more than 3 years in prison
By Susan Orr of the Indianapolis Business Journal A federal judge on Wednesday sentenced former powerhouse Merrill Lynch broker Thomas
Read more.
More Seniors Victimized by Financial Scams
More Seniors Victimized by Financial Scams
By Yuka Hayashi of The Wall Street Journal The number of suspected cases of elder financial abuse reached a record
Read more.
FINRA Awards $4.2M For Morgan Stanley's Lack Of Oversight
FINRA Awards $4.2M For Morgan Stanley’s Lack Of Oversight
By Darcy Reddan of Law360.com A Financial Industry Regulatory Authority arbitration panel has ordered Morgan Stanley Smith Barney LLC to
Read more.
Indiana Secretary of State Fines LPL Financial (Linsco Private Ledger) $450,000 for Failing to Supervise Its Indiana Brokers
Indiana Secretary of State Fines LPL Financial (Linsco Private Ledger) $450,000 for Failing to Supervise Its Indiana Brokers
Written by Scott L. Starr December 3, 2018 The securities industry is designed so that the first line of defense
Read more.

Securities Fraud

SEC Sues Trucking Co. Exec Over Vehicle-Swapping Scheme
SEC Sues Trucking Co. Exec Over Vehicle-Swapping Scheme
By Reenat Sinay of Law360.com The president of a major trucking company subsidiary defrauded investors by hiding losses through a
Read more.
3rd Circuit Revives ERISA Class Action Against UPenn
3rd Circ. Revives ERISA Class Action Against UPenn
By Emily Brill for Law360.com The Third Circuit breathed new life into a proposed Employee Retirement Income Security Act class
Read more.
Investors say ex-‘Fox & Friends’ host turned them into unwitting slumlords
Investors say ex-‘Fox & Friends’ host turned them into unwitting slumlords
By: Tim Evans and Tony Cook, Indianapolis Star In court filings and responses to online complaints, Morris contends he merely
Read more.
SEC's Self-Report Project Nabs $125M In Deals With 79 Firms
SEC’s Self-Report Project Nabs $125M In Deals With 79 Firms
By Rachel Graf of Law360.com Seventy-nine investment advisers that self-reported steering clients to funds with relatively high fees have agreed
Read more.
Based on an analysis of FINRA’s monthly disciplinary reports, press releases and online database, the fines reported by FINRA in 2018 increased slightly to $68 million from $65 million in 2017, a 5 percent jump, yet were down significantly (61 percent) from the record-setting fines of $176 million in 2016.
FINRA’s Recent Enforcement Actions Pack A Hard Punch
By Brian Rubin, Adam Pollet, Rebekah Runyon and Gregory Amoroso for Law360.com A review of the disciplinary actions brought by the Financial Industry
Read more.
Fiduciary Duty Rule by Scott L. Starr, Partner
Fiduciary Duty Rule by Scott L. Starr, Partner
Law 360’s Allison Noon recently published an article entitled “Facing Fiduciary Duty, Brokers Threaten to Exit Nevada” (included below).  According to
Read more.
Former powerhouse investment broker Buck sentenced to more than 3 years in prison
By Susan Orr of the Indianapolis Business Journal A federal judge on Wednesday sentenced former powerhouse Merrill Lynch broker Thomas
Read more.
More Seniors Victimized by Financial Scams
More Seniors Victimized by Financial Scams
By Yuka Hayashi of The Wall Street Journal The number of suspected cases of elder financial abuse reached a record
Read more.
FINRA Awards $4.2M For Morgan Stanley's Lack Of Oversight
FINRA Awards $4.2M For Morgan Stanley’s Lack Of Oversight
By Darcy Reddan of Law360.com A Financial Industry Regulatory Authority arbitration panel has ordered Morgan Stanley Smith Barney LLC to
Read more.
Indiana Secretary of State Fines LPL Financial (Linsco Private Ledger) $450,000 for Failing to Supervise Its Indiana Brokers
Indiana Secretary of State Fines LPL Financial (Linsco Private Ledger) $450,000 for Failing to Supervise Its Indiana Brokers
Written by Scott L. Starr December 3, 2018 The securities industry is designed so that the first line of defense
Read more.

Ponzi Schemes

SEC Sues Trucking Co. Exec Over Vehicle-Swapping Scheme
SEC Sues Trucking Co. Exec Over Vehicle-Swapping Scheme
By Reenat Sinay of Law360.com The president of a major trucking company subsidiary defrauded investors by hiding losses through a
Read more.
3rd Circuit Revives ERISA Class Action Against UPenn
3rd Circ. Revives ERISA Class Action Against UPenn
By Emily Brill for Law360.com The Third Circuit breathed new life into a proposed Employee Retirement Income Security Act class
Read more.
Investors say ex-‘Fox & Friends’ host turned them into unwitting slumlords
Investors say ex-‘Fox & Friends’ host turned them into unwitting slumlords
By: Tim Evans and Tony Cook, Indianapolis Star In court filings and responses to online complaints, Morris contends he merely
Read more.
SEC's Self-Report Project Nabs $125M In Deals With 79 Firms
SEC’s Self-Report Project Nabs $125M In Deals With 79 Firms
By Rachel Graf of Law360.com Seventy-nine investment advisers that self-reported steering clients to funds with relatively high fees have agreed
Read more.
Based on an analysis of FINRA’s monthly disciplinary reports, press releases and online database, the fines reported by FINRA in 2018 increased slightly to $68 million from $65 million in 2017, a 5 percent jump, yet were down significantly (61 percent) from the record-setting fines of $176 million in 2016.
FINRA’s Recent Enforcement Actions Pack A Hard Punch
By Brian Rubin, Adam Pollet, Rebekah Runyon and Gregory Amoroso for Law360.com A review of the disciplinary actions brought by the Financial Industry
Read more.
Fiduciary Duty Rule by Scott L. Starr, Partner
Fiduciary Duty Rule by Scott L. Starr, Partner
Law 360’s Allison Noon recently published an article entitled “Facing Fiduciary Duty, Brokers Threaten to Exit Nevada” (included below).  According to
Read more.
Former powerhouse investment broker Buck sentenced to more than 3 years in prison
By Susan Orr of the Indianapolis Business Journal A federal judge on Wednesday sentenced former powerhouse Merrill Lynch broker Thomas
Read more.
More Seniors Victimized by Financial Scams
More Seniors Victimized by Financial Scams
By Yuka Hayashi of The Wall Street Journal The number of suspected cases of elder financial abuse reached a record
Read more.
FINRA Awards $4.2M For Morgan Stanley's Lack Of Oversight
FINRA Awards $4.2M For Morgan Stanley’s Lack Of Oversight
By Darcy Reddan of Law360.com A Financial Industry Regulatory Authority arbitration panel has ordered Morgan Stanley Smith Barney LLC to
Read more.
Indiana Secretary of State Fines LPL Financial (Linsco Private Ledger) $450,000 for Failing to Supervise Its Indiana Brokers
Indiana Secretary of State Fines LPL Financial (Linsco Private Ledger) $450,000 for Failing to Supervise Its Indiana Brokers
Written by Scott L. Starr December 3, 2018 The securities industry is designed so that the first line of defense
Read more.

Latest News

SEC Sues Trucking Co. Exec Over Vehicle-Swapping Scheme
SEC Sues Trucking Co. Exec Over Vehicle-Swapping Scheme
By Reenat Sinay of Law360.com The president of a major trucking company subsidiary defrauded investors by hiding losses through a
Read more.
3rd Circuit Revives ERISA Class Action Against UPenn
3rd Circ. Revives ERISA Class Action Against UPenn
By Emily Brill for Law360.com The Third Circuit breathed new life into a proposed Employee Retirement Income Security Act class
Read more.
Investors say ex-‘Fox & Friends’ host turned them into unwitting slumlords
Investors say ex-‘Fox & Friends’ host turned them into unwitting slumlords
By: Tim Evans and Tony Cook, Indianapolis Star In court filings and responses to online complaints, Morris contends he merely
Read more.
SEC's Self-Report Project Nabs $125M In Deals With 79 Firms
SEC’s Self-Report Project Nabs $125M In Deals With 79 Firms
By Rachel Graf of Law360.com Seventy-nine investment advisers that self-reported steering clients to funds with relatively high fees have agreed
Read more.
Based on an analysis of FINRA’s monthly disciplinary reports, press releases and online database, the fines reported by FINRA in 2018 increased slightly to $68 million from $65 million in 2017, a 5 percent jump, yet were down significantly (61 percent) from the record-setting fines of $176 million in 2016.
FINRA’s Recent Enforcement Actions Pack A Hard Punch
By Brian Rubin, Adam Pollet, Rebekah Runyon and Gregory Amoroso for Law360.com A review of the disciplinary actions brought by the Financial Industry
Read more.
Fiduciary Duty Rule by Scott L. Starr, Partner
Fiduciary Duty Rule by Scott L. Starr, Partner
Law 360’s Allison Noon recently published an article entitled “Facing Fiduciary Duty, Brokers Threaten to Exit Nevada” (included below).  According to
Read more.
Former powerhouse investment broker Buck sentenced to more than 3 years in prison
By Susan Orr of the Indianapolis Business Journal A federal judge on Wednesday sentenced former powerhouse Merrill Lynch broker Thomas
Read more.
More Seniors Victimized by Financial Scams
More Seniors Victimized by Financial Scams
By Yuka Hayashi of The Wall Street Journal The number of suspected cases of elder financial abuse reached a record
Read more.
FINRA Awards $4.2M For Morgan Stanley's Lack Of Oversight
FINRA Awards $4.2M For Morgan Stanley’s Lack Of Oversight
By Darcy Reddan of Law360.com A Financial Industry Regulatory Authority arbitration panel has ordered Morgan Stanley Smith Barney LLC to
Read more.
Indiana Secretary of State Fines LPL Financial (Linsco Private Ledger) $450,000 for Failing to Supervise Its Indiana Brokers
Indiana Secretary of State Fines LPL Financial (Linsco Private Ledger) $450,000 for Failing to Supervise Its Indiana Brokers
Written by Scott L. Starr December 3, 2018 The securities industry is designed so that the first line of defense
Read more.

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