April 2018 We are currently reviewing potential claims for investors who suffered losses in LJM Preservation and Growth Fund (LJMIX & LJMCX) securities. Once close to a billion dollars, the…
read moreAugust 11, 2015 -Atlanta, Georgia An arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $1.28 million to a group of individuals who were victims of a ponzi scheme…
read moreFebruary 15, 2015- Long Island, New York Mark Malik (aka Moazzam Ifzal Malik) age 33, of Lahore Pakistan, was indicted and charged with stealing over $250,000 from five investors in…
read moreRex Securities Law is investigating former broker Dean S. Mustaphalli of Forest Hills, NY, who was last registered with Sterne Agee Financial Services from 12/2009-9/2011. On December 15, 2015, the Financial…
read moreThe SEC announced that on September 30 ,2014, Judge Edmond E. Chang, U.S. District Court of Illinois Eastern Division issued and order and final judgment by default against Nikolai Battoo…
read moreOn September 25, 2014, the U.S. Securities & Exchange Commission filed a complaint against Wealth Strategy Partners, LC, Harvey Altholtz, Stevens Resource Group, LLC and George Q. Stevens alleging that…
read moreFailure to Heed “Red Flags” In Ponzi Scheme Results in $280,000 Fine For Morgan Stanley Smith Barney
September 15, 2014, Washington, DC Morgan Stanley Smith Barney was fined $280,000 and ordered to disgorge commissions in connection with a $35 million Ponzi Scheme being operated in a purported British…
read moreBy Robert H. Rex, Esq. On June 23, 2014, the Securities and Exchange Commission (SEC) charged West Palm Beach, FL, hedge fund Weston Capital Asset Management LLC and founder Albert…
read moreFormer World Equity Group broker Robert Christian Acri of Winnetka, Illinois, submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any…
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