Firm Investigations Archives - Securities & Investment Lawyer

Investors with Gilder Gagnon Howe & Co. Allegedly Lost Money Due to Excessive Trading

Sep 9, 2022 Firm Investigations

Investors with portfolios at Gilder Gagnon Howe & Co. (GGHC) should be aware that this firm has multiple regulatory disclosures on its FINRA BrokerCheck record. […]

Morgan Stanley Brokers Allegedly Executed Unsuitable Options Trades Resulting in Investor Losses

Sep 7, 2022 Articles

Did you lose money because of options trading in your Morgan Stanley account? Unfortunately, according to a series of recent allegations, you are not alone. […]

Western International Securities Allegedly Violated Regulation Best Interest with GWG L Bonds

Aug 9, 2022 Articles

Western International Securities is the subject of the first Regulation Best Interest (Reg Bi) action brought by the SEC. According to the SEC, Western International […]

SEC Fines RiverSource Distributors $5 Million for Ameriprise Variable Annuity Exchanges

Jun 7, 2022 Firm Investigations

The SEC fined RiverSource Distributors $5 million following a complaint that RiverSource Distributors violated Section 11 of the Investment Company Act when they allowed their […]

Investors: Did You Lose Money with an NYLife Securities Broker?

Apr 29, 2022 Current Investigations

NYLife Securities (CRD#: 5167) has a pattern of hiring brokers who have disciplinary actions and investor disputes on their records. The New York City-based brokerage […]

Did Your R.F. Lafferty & Co. Broker Recommend GWG Holdings L Bonds?

Apr 6, 2022 Firm Investigations

Kurta Law is interested in speaking to clients of R.F. Lafferty & Co. who purchased L Bonds issued by GWG Holdings. GWG Holdings has halted […]