Stockbroker Misconduct and Investment Fraud Blog

SEC Cautions Advisers About Faults in ESG Compliance

SEC Cautions Advisers About Faults in ESG Compliance

Recent Securities and Exchange Commission (SEC) examinations of investment advisers, investment companies, and funds show shortcomings in processes related to pitching, constructing, and monitoring investment products and procedures that use...

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OneCoin and ‘Crypto Queen Face $4B Fraud Suit

OneCoin and ‘Crypto Queen Face $4B Fraud Suit

According to documents recently filed in New York federal court, Bulgarian firm OneCoin Ltd., self-styled “Crypto Queen” Ruja Ignatova, and Gilbert Armenta (a Florida broker), declined to respond a proposed class action over the...

UBS Must Pay $371K to Clients: FINRA Panel

UBS Must Pay $371K to Clients: FINRA Panel

UBS Financial Services must pay nearly $371,000 in compensatory damages, expert witness fees, and other legal costs to a pair of clients who alleged the firm’s Yield Enhancement Strategy (YES) — which focused on options-based trading — was...