Stock Market Fraud Attorneys Blog

Representing Investors Nationwide

January 19, 2017

At Colling, Gilbert, Wright & Carter, our stock market fraud attorneys have seen how fraud can ruin the lives of innocent investors. When investors are victimized by fraud, they often lose their entire life savings. Our experienced attorneys can help you pursue justice and compensation, but by far the best option is to protect yourself in the first place.

We want to help you protect yourself. That's why we're recommending this story from CNBC, which provides some useful... Read More

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January 03, 2017

The securities arbitration attorneys at Colling Gilbert Wright and Carter currently represent clients of Lawson Financial Corporation who were sold municipal revenue bonds that are subject of a recent Financial Industry Regulatory Authority (FINRA) disciplinary proceeding.

In May 2016, FINRA filed disciplinary action (#2014043854401) against Lawson Financial Corporation (LFC) and its CEO and Chief Compliance Officer Robert Warren Lawson (CRD #501167) and Pamela Denise Lawson (CRD #... Read More

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December 14, 2016

These days, real estate investment is more popular than ever. Real estate investments have proven lucrative for millions of Americans, and even in the aftermath of the Great Recession, many Americans are exploring such investments as a means of funding retirement or simply making money.

However, because of this popularity, real estate investment fraud is more popular than ever. Many people have been victimized by fradulent investments. Here are four signs that your real estate... Read More

December 01, 2016

The U.S. Department of Labor scored a second victory in its efforts to defend its so-called fiduciary rule against a myriad of challenges when a Kansas federal judge on Monday denied an insurance agency’s bid to halt the rule.  U.S. District Judge Daniel D. Crabtree denied the Market Synergy Group Inc.’s motion for a preliminary injunction halting a portion of the new fiduciary rule, saying the DOL adequately analyzed the effect of stiffening rules around sales of fixed indexed annuities... Read More

November 10, 2016

Millions of Americans rely upon mutual funds for their retirement and other investments. These mutual funds form the backbone of a solid, well-balanced portfolio. As such, mutual fund fraud is a devastating blow to the financial wellbeing of its victims.

Part of the reason mutual fund fraud is so pernicious is that many of those invested in mutual funds don't pay attention to their investments on a daily basis- in many ways, that's the point of a mutual fund. It's not the choice for... Read More

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October 25, 2016

Earlier this month, a federal judge in Puerto Rico has declined to certify a class of investors who claim UBS AG's Puerto Rican affiliate manipulated the market for its closed-end mutual funds and misled investors on risks, agreeing with a magistrate judge that the investors had not all been told the same thing.  Promising she would explain her reasoning in a separate order, U.S. District Judge Carmen Consuelo Cerezo adopted a magistrate judge's recommendation... Read More

October 20, 2016

One of the reasons so many people are victimized by unethical stockbrokers and other actors is that many people lack an understanding of the stock market and believe in some dangerous, damaging myths.

Our stock market lawyers want to help you gain a clearer understanding of the often confusing financial markets. Here are five notable myths about the stock market:

Stock market investing is easy: This, of course, is one of the biggest misconceptions that many investors believe in.... Read More
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October 03, 2016

The securities arbitration lawyers at Colling Gilbert Wright & Carter are pleased to announce an award on behalf of their client against SII Investments, Inc. in the amount of $19,634.34 plus interest and arbitration fees.  The complaint was filed with The Financial Industry Regulatory Authority (FINRA) and alleged unsuitability; misrepresentations and omissions; violation of NASD/FINRA conduct rules; breach of contract; negligence; breach of fiduciary duty; failure of supervision; and... Read More

September 14, 2016

Stock broker fraud can be devastating to your finances and can leave you feeling betrayed and unsure of what to do next. Stock broker fraud, also known as investment fraud, occurs when stock brokers mismanage your funds or make financial decisions that benefit the broker more than they benefit the client. Any actions that are taken by the stock broker that benefit the broker most, are harmful to the client, are unapproved or excessive, can be considered stock broker fraud. These types of... Read More

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August 30, 2016

Cry me a river. The insurance industry doesn't want the new Department of Labor (DOL) fiduciary rule because they would actually have to put the clients' interest ahead of their own when making recommendations. Sad that the DOL and other consumer advocates had to push for a rule requiring the financial services industry to behave in a manner that seems so obvious. Now they are suing to stop the fiduciary rule implementation. No shame.

Here is an excert from a recent article on the... Read More

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