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Investors News Other

Watch Out for this Venmo Scam

You notice a deposit to your Venmo account that you do not know. Shortly thereafter you get a message from someone you do not know, claiming that the deposit was made by accident, and could you please send it back? Being the kind person that you are, you send it […]

FINRA Office
Other

FINRA Postpones All Arbitrations

FINRA has decided to administratively postpone all in-person arbitration and mediation proceedings scheduled through May 1, 2020. If you have an in-person hearing or mediation session that is postponed as a result of this decision, you will be contacted by FINRA staff to reschedule or discuss remote scheduling options. Please […]

securities whistleblower
Whistleblower Other

New SEC Whistleblower Awards

The SEC whistleblower program has generated significant awards to individuals who provide original information that leads to successful SEC enforcement actions with total monetary sanctions exceeding $1 million. The program has resulted in more than $2 billion in financial penalties, and awards in excess of $300 million. The SEC just […]

Other

$63 Million for Investors in Real Estate Investment Fraud

Robert C. Morgan, a New York residential and commercial real estate developer, and two of his entities, Morgan Mezzanine Fund Manager LLC and Morgan Acquisitions LLC, engaged in a fraudulent real estate investment scheme.  As alleged, Morgan financed his real estate development projects through, among other ways, the sales of […]

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