Icon Sprite Social Accounts Sprite

Securities Law Updates/News

Brokers, like us all, are guilty of searching for greener pastures. Whether it be for higher commissions, a change of scenery, or institutional differences, brokers…

Kenneth Baker Dec 04, 2018

When deciding to invest your money, the first step should be figuring out if you are going to do it yourself, or if someone else…

Kenneth Baker Nov 15, 2018

Annuities have become a common product sold to customers by Brokers and/or Investment Advisors.  In a lot of cases, a Broker and/or Investment Advisor may…

Seth Hill Nov 15, 2018

Do you suspect that your broker recommended a bad investment for you? Your question is one of suitability. A broker must have a reasonable basis…

Kenneth Baker Nov 08, 2018

If you have suffered losses in your retirement account, you may have a claim to recover those losses.  You can recover your investment if you have…

Sean Sweeney Nov 05, 2018

Throughout our years of representing investors we’ve noticed one common denominator among investors who’ve lost money in a market that experienced nearly constant upward growth—their…

Olivia Fitzgerald Nov 04, 2018

The LJM Capital Preservation and Growth Fund was launched in January, 2013, selling shares to Customers in three different classes (LJMAX, LGMCX, LJMIX).  These funds…

Seth Hill Oct 31, 2018

In recent years, global oil and gas prices have sharply dropped.  These declining prices have a direct, negative impact on the revenues of offshore oil…

Kenneth Baker Oct 31, 2018

FINRA, The Financial Industry Regulatory Authority, has sanctioned SII Investments of Appleton, Wisconsin, IFC Holdings with violations on the sales of variable annuities to their…

Sean Sweeney Oct 23, 2018

FINRA recently suspended Broker Ethan De Naray of Minnetonka, Minnesota.  The group found De Naray engaged in unauthorized trading of his customers’ accounts while at…

Sean Sweeney Oct 22, 2018

MessageOur Staff

At The Securities Lawyers, you get hands-on involvement from a partner level attorney. If I'm on your case, there will be associates and paralegals assisting, but I will be the one trying your case, negotiating settlements, and mediating your case. Sean M. Sweeney

VisitOur Office

Milwaukee Office

320 E Buffalo St
Ste 611
Milwaukee, WI 53202

Open Today 8:00am - 5:00pm

Open Saturday and Sunday for calls and emails.

More Info Directions (414) 755-5020

Milwaukee Office

320 E Buffalo St
Ste 611
Milwaukee, WI 53202

Open Today 8:00am - 5:00pm

Open Saturday and Sunday for calls and emails.

More Info Directions (414) 755-5020