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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0
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 Love0