San Francisco Art Dealers Implicated in $3.4 Million Ponzi Scheme
The FBI recently announced a 12-count federal indictment against Anthony Barreiro and Ernest Ray Parker, a/k/a Ray Parker Gaylord, two…
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Los Angeles Pastor Arrested For Running Ponzi Scheme Fraud
The FBI recently announced that it has arrested Luis Alonso Serna, a pastor based in the San Fernando valley area…
Read MoreCrowdfunding Under the JOBS Act: What Investors Need to Know
Introduction In April 2012, Congress enacted the “Jumpstart Our Business Startups Act”—or JOBS Act—as part of the federal government’s ongoing…
Read MoreR. Allen Stanford’s Ponzi Scheme- Fraud for Securities That Never Existed?
Most of us who follow Ponzi schemes, scams and scoundrels remember R. Allen Stanford’s long standing Ponzi scheme. He now…
Read MoreSecurities Regulation Update: JOBS Act Loosens Restrictions On Crowdfunding Investments
as part of a broad change to the securities regulations, President Obama signed into law the “Jumpstart Our Business Startups…
Read MoreFINRA Cautions Investors: Alternative Funds Are Not Typical Mutual Funds
FINRA issued its latest “investor alert” warning the public about increasingly-popular alternative mutual funds. According to FINRA, alternative mutual funds–sometimes…
Read MoreInvestors Sue to Recover Losses Stemming from UBS Willow Fund
Investors in UBS Willow Fund, L.L.C. (the “Willow Fund”), which was sponsored and sold by UBS Financial Services, Inc., have…
Read MoreNASAA Cautions Against Crowdfunding Investments
March 25, 2013. The North American Securities Administrators Association (NASAA) was founded in 1919 and is one of the oldest…
Read MoreSEC Accuses San Diego Advisor Ray Lucia of Misleading Investors
In early September 2012, the SEC initiated formal cease and desist proceedings against San Diego-based financial advisor Raymond J. Lucia,…
Read MoreTop Ten Unsuitable Investments to Watch Out For
These are the Top Ten Unsuitable Securities Investments to Watch Out For during 2012, as compiled by FINRA. For most…
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