Stockbroker Misconduct and Investment Fraud Blog

Miami brokers implicated in kickback scheme

Miami readers of this blog have heard about several recent instances of misrepresentation or non-disclosure of material information involving particular securities. In some cases, the underlying security was a scam, as in the case of a Ponzi...

SEC accuses municipal leaders of securities fraud

Miami readers of this blog have learned of many instances of stockbroker misconduct or misrepresentations. In such cases, an investment professional may have breached his or her fiduciary duty by failing to inform potential investors of all the...

Goldman Sachs Ordered to Pay Investor $2.5 Million

A FINRA arbitration panel has ordered New York-based Goldman Sachs & Co. to pay approximately$2.5 million to an investor who alleged the brokerage firm recommended an unsuitable investment, the Goldman Sachs Special Opportunities Fund. The...