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The Securities and Exchange Commission today charged a former broker, his company, and his business partner in an alleged real estate investment scheme utilizing high-pressure sales tactics to pilfer $6 million from retirees and other investors while using the proceeds to fund the broker’s lavish lifestyle and start e-cigarette businesses. The SEC alleges that Leonard […]
Ryan Bakhtiari to Speak at 2017 PLI Conference Panel Discussion Details The panel discussion will cover a range of topics, issues, and procedures critical to arbitrating expungement matters. Participants can expect to gain insights into the preparation and execution of expungement hearings, including best practices for presenting cases and navigating the arbitration process. This session […]
Wells Fargo and a number of other lenders are negotiating to take control of a hedge fund previously valued at more than $2 billion that is now worth close to nothing, according to a report from the Wall Street Journal. EnerVest Ltd., a Houston private equity firm that focuses on energy investments, manages the private equity […]
The Securities and Exchange Commission today announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual fund sales charges to clients who were overcharged. In a settlement of more than $97 million, Barclays agreed to settle three sets of violations that resulted in clients being overbilled by nearly $50 million. The SEC’s […]
Richard Wisely, who has managed Oppenheimer & Co.’s shifting fortunes as manager of its Los Angeles-area office under several ownership structures, has stepped aside, a spokeswoman said. Wisely, who has been with Oppenheimer & Co. and predecessor companies since 1984, is handing the reins of the New York-based firm’s approximately 50-broker office in Westwood office to […]