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SEC Charges Former Merrill Lynch Registered Representative with Defrauding Investors

The Securities and Exchange Commission has charged Phillip Conley, a West Virginia-based former registered representative, with conducting fraudulent securities offerings in which he raised...

Texas Supreme Court Denies Kyle Bass Petition to Review, UDF Lawsuit...

A lawsuit filed by United Development Funding L.P. against Kyle Bass and his hedge fund Hayman Capital will proceed in the trial court after...

Former Ladenburg Chairman Files Lawsuit to Halt Advisor Group Merger

Ladenburg Thalmann Financial Services Inc.’s former chairman and its largest shareholder, Phillip Frost, has filed a lawsuit against the firm following its proposed merger...

GPB Audit Committee Resigns Further Delaying Funds’ Audited Financial Release

Investors in two funds sponsored by GPB Capital, a New York-based alternative asset management firm, were informed last week that the firm will miss...

Ladenburg Discloses Complaints Against Subsidiary Broker-Dealer Over GPB Sales

Ladenburg Thalmann Financial Services (NYSE: LTS), a publicly traded financial services firm, disclosed in its quarterly financial report that multiple arbitration claims and one...

Class Action Alleges GPB Operated as a Ponzi Scheme

A class action lawsuit was filed in a Texas federal court against GPB Capital Holdings, its affiliates, company executives, and the broker-dealers that purportedly...

Former SEC Examiner/GPB Executive Indicted for Obstruction of Justice

Michael Cohn, a former Securities and Exchange Commission examiner who was recently hired as managing director and chief compliance officer at GPB Capital Holdings,...

Investors File Class Action Lawsuit Against GPB Capital

Investors Victor Wade and Karen Loch have filed a class action lawsuit against GPB Capital Holdings and certain affiliates and senior executives seeking, among...