GPB Capital – Investor Update Industry NewsInvestment Products

February 16, 2023

GPB Capital – Investor Update

On February 4, 2021, the SEC filed a complaint against GPB Capital and various related…

Shawn Martin

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Michigan Investment Fraud Attorneys Issue Alert re Virgil Biggs Investor Alert

November 17, 2022

Michigan Investment Fraud Attorneys Issue Alert re Virgil Biggs

According to his FINRA Brokercheck report, financial advisor Virgil Biggs of Saranac, Michigan is involved…

Kacie Keith

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Investor Alert – John Broughton Investor Alert

November 4, 2022

Investor Alert – John Broughton

Stock broker John Broughton of Michigan has been sued by a customer who alleges Broughton…

Kacie Keith

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Investor Alert – Todd Marone and JP Morgan Securities Investor Alert

November 4, 2022

Investor Alert – Todd Marone and JP Morgan Securities

Stock broker Todd Marone of Troy, Michigan is reported to be involved in a legal…

Kacie Keith

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Investor Alert – Timothy Fazzone Investor Alert

November 2, 2022

Investor Alert – Timothy Fazzone

Timothy Fazzone of Dublin, Ohio has been barred from association with any FINRA member firm…

Kacie Keith

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Investor Alert – David Austin and JP Morgan Securities Investor Alert

October 30, 2022

Investor Alert – David Austin and JP Morgan Securities

David Austin of Grand Rapids, Michigan recently had his securities agent registration revoked by Michigan’s…

Kacie Keith

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Investor Alert – McDonald Partners Investor Alert

October 30, 2022

Investor Alert – McDonald Partners

The Financial Industry Regulatory Authority (FINRA) recently fined and censured Cleveland-based securities broker-dealer McDonald Partners,…

Kacie Keith

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Michigan Investment Fraud Attorneys Issue Alert re Mike Walters Investor Alert

October 30, 2022

Michigan Investment Fraud Attorneys Issue Alert re Mike Walters

Michigan resident Mike Walters was ordered to cease and desist from unlawfully selling unregistered, non-exempt…

Kacie Keith

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Investor Alert – FormulaFolio Investments, LLC and Retirement Wealth Advisors Investor Alert

October 27, 2022

Investor Alert – FormulaFolio Investments, LLC and Retirement Wealth Advisors

Prior to the Covid crash in March 2020, FormulaFolio was employing proprietary software —formerly, AssetLock™…

Kacie Keith

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Michigan Investment Fraud Attorneys at Mika Meyers, PLC Represent NASAA in Court of Appeals Firm News

September 6, 2022

Michigan Investment Fraud Attorneys at Mika Meyers, PLC Represent NASAA in Court of Appeals

Mika Meyers, PLC was recently retained as amicus-curiae counsel for the North American Securities Administrators…

Kacie Keith

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GPB Capital – Investigation and Recovery Options Investor Alert

October 5, 2019

GPB Capital – Investigation and Recovery Options

Securities lawyers at Mika Meyers, PLC are investigating potential claims against brokerage firms that sold…

Kacie Keith

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Primer on Dodd-Frank Whistleblower Retaliation Claims Uncategorized

August 24, 2019

Primer on Dodd-Frank Whistleblower Retaliation Claims

The Dodd-Frank Act added Section 21F to the Securities Exchange Act of 1934, which provides,…

Kacie Keith

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Secondary Liability of Agents, Employees, Managers and Executive Officers Under State Securities Laws Investor Education

June 9, 2019

Secondary Liability of Agents, Employees, Managers and Executive Officers Under State Securities Laws

The securities laws in most States, including States that have adopted the Uniform Securities Act…

Kacie Keith

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My Financial Adviser Has Filed For Bankruptcy: Now What? Investor Education

April 7, 2019

My Financial Adviser Has Filed For Bankruptcy: Now What?

In the wake of several large Ponzi schemes collapsing in 2017 and 2018, a growing…

Kacie Keith

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Secondary Liability of Financial Advisers for Materially Aiding the Sale of Unregistered Non-Exempt Securities Under the Uniform Securities Act (2002) Investor Education

March 25, 2019

Secondary Liability of Financial Advisers for Materially Aiding the Sale of Unregistered Non-Exempt Securities Under the Uniform Securities Act (2002)

Subsection 509(2) of the Uniform Securities Act (2002) (the “USA”) provides the purchaser of an…

Kacie Keith

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Primer on Variable and Indexed Annuities Investor Education

February 6, 2019

Primer on Variable and Indexed Annuities

A variable annuity is a type of security offered by insurance companies. The purchaser pays…

Kacie Keith

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Biotech Investing: A Cautionary Tale Investor Education

January 25, 2019

Biotech Investing: A Cautionary Tale

In the volatile biotechnology sector, it is common for a company’s stock price to soar…

Kacie Keith

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“Failure to Execute” Claims Investor Education

January 22, 2019

“Failure to Execute” Claims

When a broker fails to execute a buy or sell order from a customer, the…

Kacie Keith

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Investor Alert – Illiquid Alts Investor AlertInvestor Education

January 18, 2019

Investor Alert – Illiquid Alts

Illiquid alternative investments have been a cause of particular concern for securities regulators and watchdogs…

Kacie Keith

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Did Your Broker Fail to Instruct You About Available Order Types? Investor AlertInvestor Education

September 22, 2018

Did Your Broker Fail to Instruct You About Available Order Types?

Brokerage firms owe their customers a duty of fair dealing, which includes the duty to…

Kacie Keith

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