Law

We cover latest news on investor lawsuits, investigations and investment fraud.  Unfortunately, investment fraud is very common, especially with seniors.  We report on several different kinds of security fraud that includes Ponzi-Schemes, Bad Accounting and Improper Sales Practices.

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With Rising Registered Investment Advisors (RIAs) Numbers, SEC’s Target 15% Examination Could be at Risk

In 2021, the Securities and Exchange Commission (SEC) examined 16% of RIAs (registered investment advisors). This translates to every sixth RIA being examined, out of about 15,000 in all. Additionally, the SEC believes that in …

With Rising Registered Investment Advisors (RIAs) Numbers, SEC’s Target 15% Examination Could be at Risk Read More »

Merrill Lynch Broker Evelyn Batista

Fired Merrill Lynch Broker Evelyn Batista Accused Of Misrepresentation For SBA Loan Suspended By FINRA

A registered representative of Merrill Lynch, Evelyn Batista was suspended by the Financial Industry Regulatory Authority (FINRA) for making “reckless misrepresentations” to the Small Business Administration (SBA) to obtain an economic injury disaster loan. In …

Fired Merrill Lynch Broker Evelyn Batista Accused Of Misrepresentation For SBA Loan Suspended By FINRA Read More »

Cole Capital, Nicholas Schorsch,Vereit, CIM Group, Cole Capital,AR Capital,American Realty Capital 

FINRA Claim Filed Against Lincoln Financial For CIM Real Estate Finance Trust (Cole Credit Property Trust IV)

A FINRA claim has been filed by an investment fraud law firm on behalf of a resident of Kansas. It alleges unsuitable client investments made by Lincoln Financial Advisors Corp. in Cole Credit Property Trust …

FINRA Claim Filed Against Lincoln Financial For CIM Real Estate Finance Trust (Cole Credit Property Trust IV) Read More »

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