Tag Archives: Boca Raton Stock Broker Fraud Attorney
Top Firms Settle with SEC over Puerto Rican Junk Bonds
The U.S. Securities and Exchange Commission announced this week that 13 top financial firms have settled charges against them alleging that they inappropriately sold Puerto Rican junk bonds to retail investors. The firms, including Charles Schwab, JP Morgan, and UBS, have all agreed to pay penalties ranging between $54,000 and $130,000, without admitting any… Read More »
Precious Metals Futures Fraud
The Commodity Futures Trading Commission (“CFTC”) established the Precious Metals Fraud Advisory to alert customers to precious metals fraud and lists of recognized frauds and scams. The advisory also posts blogs and tips on simple ways to spot precious metals scams. The CFTC implemented several customer protections advisories to provide various warnings on popular… Read More »