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The Securities and Exchange Commission today announced that two Citigroup affiliates have agreed to pay nearly $180 million to settle charges that they defrauded investors in two hedge funds by claiming they were safe, low-risk, and suitable for traditional bond investors. The funds later crumbled and eventually collapsed during the financial crisis. Citigroup Global Markets […]
The Securities and Exchange Commission today charged a Houston-area businessman with operating a $114 million Ponzi scheme that defrauded investors, some of whom were told that their money would fund technology to prevent accidents caused by drowsy driving. The SEC’s case filed in federal court in Houston charged Frederick Alan Voight of Richmond, Texas with […]
Ryan Bakhtiari has been invited to participate as a speaker at the 2015 Practicing Law Institute (PLI) conference program on Thursday, July 30, 2015. Mr. Bakhtiari represents clients in securities disputes before FINRA (NASD, NYSE), state and federal courts. In June 2019, Mr. Bakhtiari was nominated to serve as a public member of the Discovery […]
Spots Underscore the Ease and Importance of BrokerCheck Before You Invest The Financial Industry Regulatory Authority (FINRA) today launched a national ad campaign promoting BrokerCheck (brokercheck.finra.org), FINRA’s free online tool that allows investors to access information about every broker’s employment history, certifications and licenses, as well as regulatory actions, violations or complaints made against them. […]
Registered Representative Cesar Rodriguez Barred for Fraud and Improper Use of Customer Funds WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that Avenir Financial Group, its CEO Michael Clements, and registered representative Karim Ibrahim aka Chris Allen consented to an order halting further fraudulent sales of equity interests in the firm and promissory […]