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Miami Investment Fraud Attorney
305.372.9700
2655 South Le Jeune Road
Suite 1108
Coral Gables, FL 33134

Tag Archives: Overbilling

InvestFraud3

Morgan Stanley Hit With Multimillion Dollar Penalty for Overbilling Customers

By Staff |

On January 13th, 2017, the Securities and Exchange Commission (SEC) announced that it had reached a $13 million settlement with the financial giant Morgan Stanley. The settlement came in relation to charges that Morgan Stanley had been systematically overbilling its clients and that the company failed to comply with key securities regulations. Beyond the… Read More »

Financial Adviser Overbilled Clients, Stole Assets

By Staff |

On October 27th, 2016, the Securities and Exchange Commision (SEC) filed charges against a California financial adviser named Marc D. Broidy and his investment firm Broidy Wealth Advisors, LLC (BWA). According to the complaint filed by the agency, Broidy and his company took in more than $1.4 million in ill-gotten gains from clients. The… Read More »

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