PIABA Publishes Video to Educate Investors of the Prevalence of Investment Abuse

The Public Investors Arbitration Bar Association (PIABA) released a video featuring victims as well as many PIABA members who explain why investors are hesitant to hold their brokers responsible for bad investment recommendations and fraud. PIABA is encouraging securities arbitration attorney’s, including Law Office of Anthony B. Bingham, P.C., to share the video.  It is PIABA’s hope that the video will educate investors about the prevalence of investment abuse and prompt more investors to come forward and bring claims. Should you have questions after watching the video, please contact our office at...

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Oppenheimer & Co. Sanctioned $2.9 Million by FINRA

Oppenheimer & Co. Sanctioned $2.9 Million by FINRA

FINRA fined Oppenheimer & Co, Inc. $2.25 million and was ordered to pay more than $716,000 in restitution to customers for selling non-traditional ETF’s to customers without reasonable supervision and for recommending non-traditional ETF’s that were not suitable.  Read the entire FINRA News Release...

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Enormous Alleged Lawson Financial Bond Sale Fraud

Enormous Alleged Lawson Financial Bond Sale Fraud

A complaint was filed by FINRA against Lawson Financial Corporation, a Phoenix-based firm, and CEO, Robert Lawson for securities fraud in the sale of millions of dollars of municipal revenue bonds.  If you purchased any bonds from Lawson Financial Corporation, Inc., call us today at 480.832.1922.  Read the full article...

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David Joseph Escarcega of Phoenix, AZ Fined for Misrepresentations

David Joseph Escarcega of Phoenix, AZ Fined for Misrepresentations

David Joseph Escarcega of Phoenix, AZ was sanctioned by FINRA for intentionally making false misrepresentations or omissions to customers.  Read the FINRA Disciplinary Action Here on page 30.

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MetLife Sanctioned $25M For Variable Annuity Activities

MetLife Sanctioned $25M For Variable Annuity Activities

“…FINRA announced today that it has fined MetLife Securities, Inc. $20M and ordered it to pay $5M to customers for making negligent material misrepresentations and omissions on variable annuity replacement applications for tens of thousands of customers.” If you have a MetLife variable annuity and believe you were misled, call us today at 480.832.1922. Read Entire FINRA Article...

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INVESTOR ALERT

INVESTOR ALERT

A recent FINRA alert discusses how, “High-Yield CD Offers Can Be Bait for High-Commission Investments.”  This alert comes following a high number of calls to the Securities Help Line For Seniors.  Click here to read...

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