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

Class Actions

Class Action Alleges UPL
Lawyers use United Financial decision to make their argument. The gift of estate planning services that Portland, Ind., resident Jeffrey
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Securities Fraud

SEC’s Office of Compliance Inspections and Examinations Identifies Frequent Advisor and Brokerage Firm Shortcomings
Starr Austen & Miller has represented over a thousand victims of either investment advisor negligence or stockbroker fraud.  In almost
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Indiana settles with securities firm over agent who ran Ponzi scheme
By: Indianapolis Business Journal Staff and Associated Press The state has reached a $275,000 settlement with NYLife Securities LLC over
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Oil Futures Trader Gets 10 Years For $1.4M Ponzi Scheme
By Matthew Guarnaccia of Law360.com Texas federal judge on Tuesday sentenced a New York-based oil futures trader to 10 years
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Securities watchdog bans second broker in alleged Veros Ponzi scheme
By: Jared Council of Indianapolis Business Journal Financial industry regulators have permanently barred a local broker alleged to have participated
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New Albany, Indiana Man Arrested on Multiple Counts of Securities Fraud and Theft
By Lindsey Holmes of tristatehomepage.com A New Albany man is in jail Thursday night after a 13-month investigation revealed he
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Trader Charged For $9M Ponzi Scheme Not Singled Out: Judge
By Joyce Hanson of Law360.com An Illinois federal judge on Thursday refused to dismiss an indictment against a Chicago trader
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U.S. Takes Down Call-Center Financial Scam
Officials allege people impersonating IRS, immigration officials extracted more than $250 million from victims By Miriam Jordan of The Wall
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Florida Man Gets 17 Years For Currency Trading Fraud Scheme
A Florida man was sentenced Tuesday in Miami to more than 17 years in federal prison for duping about 300
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SEC sets record in enforcement actions against investment advisers
Uptick in adviser crackdown attributed to better data analytics and agency’s new unit focused on asset management By Mark Schoeff Jr.
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SEC Charges Adviser Over Cherry-Picking Trades
By Carmen Germaine of Law360.com The U.S. Securities and Exchange Commission on Tuesday filed an in-house suit alleging a Hawaii-based
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Ponzi Schemes

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Latest News

SEC Says Advisers Must Report Clients’ Derivatives Risk
By Jody Godoy of Law360.com Law360, New York (August 25, 2016, 5:11 PM ET) — The U.S. Securities and Exchange
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Finra fines UBS $250,000 for overcharging mutual-fund customers
The firm allegedly failed to provide about 2,700 customers waivers tied to upfront sale charges InvestmentNews.com By Christine Idzelis A
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Finra panel orders adviser to pay $333,000 to Morgan Stanley
Louis D. Dworsky was found in breach of promissory notes when he left the brokerage firm InvestmentNews.com By Christine Idzelis
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Former Merrill Edge adviser accused of misleading customers
Finra said the adviser misled five IRA customers and then did not give an honest account of his actions InvestmentNews.com
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FINRA panel directs broker to pay Wells Fargo almost $1 million after his termination
Robert Edward Loftus was discharged in 2013 and found in breach of a promissory note InvestmentNews.com By Christine Idzelis Broker
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Investment Branch of Fidelity Sued for Fiduciary Breach
Individuals that contribute to a Delta Air Lines Inc. 401(k) plan have sued sections of Fidelity Investments, on the claim of
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NJ Couple Faces Prison, Civil Fine Over Alleged Ponzi Scheme
By Jeannie O’Sullivan of law360.com Law360, Jersey City (May 27, 2016, 2:23 PM ET) — A New Jersey couple who
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Starr Austen Helped Secure Huge Recovery for Fraud Victims
In a better-than-average outcome, more than 90 investors who lost $9.7 million in a securities fraud debacle will recover a
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Prepare for the Unexpected: Your Succession Planning Portfolio
You may dream of someday passing down your family farm and your legacy to the next generation, but are you
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Accounting Firm Agrees to Settlement in Ponzi Fraud Case
Indianapolis-based accounting firm DeWitt & Shrader PC agreed to settle a lawsuit brought by a receiver appointed for Samex Capital
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