Tag Archives: Ohio stock broker misconduct

Government Suspends Trading at Seven Firms Across US in Penny Stock Fraud Case

In December 2011, the federal government suspended trading at seven US investment firms for allegedly participating in penny stock fraud. Penny stock fraud occurs when investment advisers or stockbrokers act negligently by encouraging investors to buy stock in small companies … Continue reading

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Ponzi Scheme Investor Protection Act of 2011 – What Investors Need to Know

Following the Bernie Madoff scam, it became obvious that investors needed more protection for their assets when their brokerage firms failed and they became the victims of investment fraud and Ponzi schemes. This year, US Representative Gary Ackerman introduced the … Continue reading

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