GPB Capital Funds Lawsuit Seeks Class Action Status for Investors
A class action lawsuit filed against GPB Capitol Holdings and numerous brokerages accuses them of improper conduct in failing to warn investors of what was essentially a Ponzi scheme.
Tag Archives: Investor Lawsuits
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Former SEC Compliance Chief Arrested For Giving GPB Capital Investigation Information In Exchange For Job
A compliance officer at GPB Capital and former SEC investigator faces criminal charges for allegedly trading information on an ongoing probe in exchange for a job at the beleagured investment…
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GPB Capital Investment Loss Claims Filed Over Financial Fraud Described as “Ponzi” Scheme
A Capital Holdings group accused of financial fraud may have been running a Ponzi scheme which bilked nearly $2 billion from investors.
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GPB Capital Class Action Lawsuit Filed Over Failure To Provide Information About Status of Investments
A class action lawsuit says GPB Holdings has failed to provide investors with timely information about its finances as the firm faces a multistate and national fraud investigation.
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UBS Puerto Rico Bond Fund Fraud Results in $33.5M Fine by FINRA, SEC
The SEC and FINRA have fined UBS $33.5 million over its handling of Puerto Rico bond funds.
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Elderly Financial Abuse Targeted by FINRA, As Fines Doubled in 2014
FINRA more than doubled fines against brokers and investment agents last year amid a push to protect the elderly from financial abuse.
