SEC Announces 2014 Examination Priorities

FOR IMMEDIATE RELEASE 2014-5 Washington D.C., Jan. 9, 2014 — The Securities and Exchange Commission announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies,...

Did JP Turner Sell You Non-Traditional ETFs?

If JP Turner sold you a non-traditional ETF, Wittenberg Law may be able to help you recover losses.  Call Jeffrey Wittenberg at (310) 295-2010 FINRA recently announced a disciplinary proceeding that underscores its continuing concerns about unsuitable retail sales of...

Elder Financial Fraud Is on the Rise

According to the FBI’s latest Financial Crimes Report to the Public, investigations of securities and commodities fraud, also known as investment fraud, have increased by 52 percent since 2008. Additionally, investment fraud is largely underreported, and...