Tag Archives: Investments

William Riley: Investor Seeks $600,000 in Complaint over Oil and Gas, Alternative Investments

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that a current Riley Wealth Advisor and former Texas-based Silver Oak Securities broker/adviser William Riley, who has received resolved or pending customer disputes, … Continue reading

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UBS Advisor John Maccoll Charged With Running An Investments Scam – Investor Recovery Options

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor John Maccoll (Maccoll), formerly associated with UBS Financial Services Inc. (UBS) in Birmingham, Michigan was barred by FINRA. In addition, The Securities and Exchange Commission (SEC) … Continue reading

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Zamansky LLC Investigates Purshe Kaplan Over Sales of Alternative Investments

The law firm is investigating alternative investments sold by Purshe Kaplan Sterling Investments Inc. (“Purshe Kaplan”), the brokerage firm based in Albany, New York, with branches located throughout the country. If you are an investor in an alternative investment such … Continue reading

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Marijuana Investments and Fraud Featured in SEC Investor Alert

The marijuana industry is attracting considerable interest from investors, and unfortunately, scam artists trying to take advantage of those investors. In response to these concerns, on September 5, 2018, the Securities and Exchange Commission’s Office of Investor Education and Advocacy … Continue reading

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Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. August 2018 – Aventura, FL The FINRA records of  Matthew Singer,  a  broker previously employed by Morgan Stanley Smith Barney disclose 3 prior customer disputes and a regulatory event. The Financial Industry Regulatory Authority (FINRA) is … Continue reading

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