On Aug. 12, 2022, the Financial Industry Regulatory Authority (FINRA) announced that former Baton Rouge-based Park Avenue Securities registered representative Bradley S. Kavanagh had been permanently barred from…
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On Nov. 17, 2022, the Financial Industry Regulatory Authority (FINRA) announced that former J.P. Morgan Advisors broker Edward L. Turley had been permanently barred. FINRA’s decision was made…
The Wall Street Journal reports that GWG Holdings, Inc., an alternative asset manager, filed for bankruptcy on Wednesday, Apr. 20, 2022. Known for selling life-insurance bonds to retail investors, GWG’s…
The Texas State Securities Board (“TSSB”) has announced its top investor threats, with cryptocurrency and digital assets topping the annual list. As detailed in a TSSB news release:…
Fishman Haygood attorneys Lance McCardle and Lara K. Richards presented at the 2021 Forensic Litigation and Business Valuation Conference in Baton Rouge on October 21, 2021. The annual…
As more and more people turn to social media for news and other important information, the SEC is warning against investing in the “heavily-promoted companies with smaller market…
