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Protecting Senior Investors From Misconduct Within The Securities Industry

Elderly investors have frequently been targeted by rogue stock brokers, along with salesmen who do not even possess a license that allows them to sell securities.  In response to the widespread character of the deceptive practices that have been directed at seniors (to include older workers who are about to retire), securities industry regulators have […]

By |June 2nd, 2016|Uncategorized|0 Comments

Further Discussion Of Appellate Court Brief Addressing Securities Law Claims, As Well As Common Law Fraud Allegation

A blog was recently posted that provided basic information associated with a trial over which Judge William Sowder, Lubbock County, Texas presided.  The underlying petition reflected a series of claims predicated on the Texas Securities Act (“TSA”); it also encompassed an allegation of common law fraud.  Set forth below are compact segments of the brief […]

By |June 1st, 2016|Uncategorized|0 Comments

Securities Fraud Appellate Briefs Filed On Behalf Of Senior Investors

Historically, the majority of our investment fraud cases have resulted in amicable settlements.  However, a settlement cannot always be achieved.  Over the past couple years, we have brought two securities fraud cases to trial.  On both occasions, we emerged victorious.  Pursuant to both trials, we prevailed on the various allegations of securities fraud that had […]

By |May 31st, 2016|Uncategorized|0 Comments

Securities Law Violations Associated With The Sale Of Microcap Securities: Protecting The Interests Of Investors

The Financial Industry Regulatory Authority (FINRA), a securities industry regulator that operates under the oversight of the Securities and Exchange Commission (SEC), recently announced that it imposed hefty sanctions in connection with a scheme to sell unregistered microcap securities, in violation of federal law.  Pursuant to this disciplinary action, FINRA fined Cantor Fitzgerald & Co. […]

By |January 15th, 2016|Uncategorized|0 Comments

Responsibilities & Obligations Of Brokerage Firms Conducting Private Offerings: Due Diligence & Reasonable Investigation

Private Offerings of Securities

Private offerings, which are also known as private placements, play a crucial role in the capital markets.  Every year, hundreds of billions of dollars are raised through private securities offerings.  Unfortunately, private offerings have repeatedly served as a source of immense concern for securities industry regulators.  All too frequently, large scale abuses […]

By |January 11th, 2016|Uncategorized|0 Comments

Life Settlement Investors Who Have Suffered Losses Based On The Conduct Of LPHI And LPI: A Chronological Perspective

Life settlement investors situated across the country have sustained massive losses in connection with the conduct of Life Partners Holdings, Inc. (“LPHI”) and Life Partners, Inc. (“LPI”).  For purposes of placing the underlying events in their proper perspective, it is helpful to consider those issues from a chronological standpoint.  An examination of the LPHI amended […]

By |November 10th, 2015|Uncategorized|0 Comments

Can Sellers Of Life Settlements Issued By Life Partners (LPHI), Waco, Texas, Be Held Accountable?

Private Offerings:  Essential Need For Due Diligence Investigation

SEC Regulation D usually serves as the vehicle through which private offerings take place.  Typically, a private placement memorandum (“PPM”) is prepared on behalf of the issuer of the underlying securities.  In theory, the attributes and characteristics of the securities are to be described in the PPM.  Unfortunately, […]

By |September 21st, 2015|Uncategorized|0 Comments

Judicial Analysis Of Allegations Made By Securities And Exchange Commission

As noted in a recent posting, the SEC’s complaint attacked the training and experience of Dr. Donald Cassidy.  Among other things, it claimed that he did not maintain the qualifications that would provide for the issuance of accurate life expectancy estimates.

Extending the analysis further, the contentions of the U.S. Securities and Exchange Commission asserted that […]

By |September 14th, 2015|Uncategorized|0 Comments

Securities and Exchange Commission Allegations Directed At LPHI and LPHI Executives

As a means of refining and revising its original allegations, the SEC filed a First Amended Complaint on February 5, 2013 against Life Partners Holdings, Inc. and three LPHI executives.  The SEC summarized its allegations in accordance with the following:

— “Life Partners is a public company that trades on the NASDAQ . . . .  […]

By |September 14th, 2015|Uncategorized|0 Comments

Analysis of Judgment Entered Against LPHI, Pardo, and Peden

The text of the December 2, 2014 judgment that was entered against Life Partners Holdings, Inc. (“LPHI”), Brian Pardo, and R. Scott Peden reveals the cerebral craftsmanship of a talented, experienced judge who was intent on holding the Defendants accountable for “serious violations” of the federal securities laws while, at the same time, displaying a […]

By |September 11th, 2015|Uncategorized|0 Comments