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You may have lost money in your investment portfolio,
due to mismanagement and not even know it.

Securities Law Archives

Investment con artists: unethical and always creative

Celebrated American showman P.T. Barnum allegedly uttered well more than a century ago the words, "There's a sucker born every minute." That now famous maxim conveys the idea that manipulative individuals can easily defraud gullible members of the public.

He produced movies and orchestrated investment fraud at same time

By any measuring stick, David Bergstein has been a busy man over the years. He was a long-time player in the entertainment industry, producing a number of movies. He has been a financial adviser. He formerly controlled the reins of multiple production companies. And he was the chief executive of a California bank.

Wells Fargo Advisors customers have new cause for concern

Wells Fargo's wealth management and brokerage branch, known as Wells Fargo Advisors, has attracted the attention of the Justice Department. Towards the end of 2017, the Justice Department told the bank to conduct an independent investigation of the branch after employees of the bank blew the whistle on alleged sales issues.

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