We are currently investigating investor claims pertaining to Alternative Energy Holdings, LLC, Global Green Energy Partners, LLC, Global Green TK, LLC and Resolute Technology Trust. If you invested in any of these entities upon the recommendation of Gregory Thomas, you may have information relevant to the investigation. Please call (724) 713-8228 today if you wish…

We are currently investigating the liability that FINRA member brokerage firms may have for Jonathan Freeze’s recommendations to invest in Alternative Energy Holdings, LLC.  You may be able to provide information to facilitate our investigation. Have you invested in Alternative Energy Holdings, LLC upon the recommendation or advice of Jonathan Freeze?  If so, you may…

Have you invested in Resolute Technology Trust, Alternative Energy Holdings, Global Green Energy Partners, Global Green TK, or Bio-Pure Energy upon the recommendation or advice of Gregory Thomas? If so, you may have information to facilitate our investigation and The Law Office of Michael A. Nagy, LLC would like to talk with you. Please call…

Have you invested in Alternative Energy Holdings, LLC? We are currently investigating this investment. If you have information regarding Alternative Energy Holdings, LLC, the Law Office of Michael A. Nagy LLC would like to talk with you. Please call us today at 724-713-8228. Michael Nagy is an experienced securities attorney based out of Pittsburgh, Pennsylvania…

Our office is currently investigating investments in Alternative Energy Holdings, Global Green Energy Partners, Global Green TK, and Bio-Pure Energy. If you have invested in any of these entities upon the recommendation of Jonathan Freeze you may have information relevant to our investigation. Please call (724) 713-8228 today. Michael Nagy is an experienced securities attorney…

According to the Financial Industry Regulatory Authority (“FINRA”), Pittsburgh-area stockbroker Jonathan Freeze (“Freeze”) has been barred from the industry. On June 20, 2017 in connection with an ongoing investigation relating to his recommendation of variable annuities, FINRA sent a request to Freeze for certain documents and information to facilitate its investigation. Freeze refused to cooperate…

The Comprehensive Automated Risk Data System (CARDS) would allow FINRA, the largest independent regulator for all securities firms doing business in the United States, to collect information in a standardized format across all firms on a regular basis. CARDS was first floated as a concept release in December 2013, and an implementation proposal was released…

FINRA recently published the results of a survey of U.S. investors designed to measure perceptions of fairness and to gauge demand for additional regulatory protections. The investors surveyed made it clear they want more regulatory protections, even if it will increase costs that broker-dealers pass on to investors. Indeed, nearly three quarters of investors surveyed…

When problems between brokers and investors occur, the Financial Industry Regulatory Authority (FINRA) administers the largest forum specifically designed to resolve securities-related disputes between and among investors, securities firms and individual brokers. FINRA’s arbitration forum is the largest in the country for the securities industry, handling nearly 100 percent of securities-related arbitrations from more than…

It was recently reported that three brokerage executives who worked at a now-defunct independent broker-dealer were ordered by a FINRA arbitration panel to pay $1.05 million, plus interest, to a family that invested in high risk private placements that turned out to be Ponzi schemes. A copy of the FINRA Award can be read here….