Stock Market Fraud Attorneys Blog

Representing Investors Nationwide

February 21, 2017

“Churning” is the act of excessive trading by an unethical broker. Brokers do this because they make a small fee or commission on every trade, which means an unethical broker has an incentive to make a number of small, meaningless trades that pad their accounts but do nothing for you.

The difficulty on your part is determining when a broker is engaged in churning. After all, making trades is a key part of a broker's job, and in certain circumstances it's even appropriate for a... Read More

February 08, 2017

A Texas federal judge on Wednesday upheld the U.S. Department of Labor’s controversial fiduciary rule for retirement advisers — just hours after the agency had asked to stay the case in light of President Trump’s directive to review and possibly rescind the rule.  The Texas case (U.S. Chamber of Commerce, et. al. v. Edward Hugler and United States Dept. of Labor).  The court, ignoring the government's stay motion, issued an 81-page opinion upholding the rule, including its prohibition on... Read More

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February 03, 2017

The securities litigation attorneys at Colling Gilbert Wright & Carter are currently investigating a possible Financial Industry Regulatory Authority (FINRA) arbitration claim against form Investors Capital Corp. (ICC) registered representative Donnie Eugene Ingram.  Mr. Ingram was employed with ICC from February 1997 to July 2016 and operates Ingram Financial Group in Winter Haven, Florida.

According to FINRA BrokerCheck Records, Mr. Ingram has at least seven disclosures... Read More

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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