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2022-05-07: Reviewing Investment Account Statements During Market Volatility – Five Red Flags
2022-05-02: What Does it Mean for Investors? LPL Financial Settlement $26 Million
2021-06-24: Pasieczny Appointed to FINRA’s National Arbitration and Mediation Committee
2021-01-28: Robinhood Restricts GameStop, AMC, Other Securities – Do Investors Have Claims?
2020-07-23: SEC Takes Action: False & Misleading Conduct Related to COVID-19
2020-07-16: Investor Alert – Fraudsters Target CARES Act Retirement Savings Relief
2020-07-08: Victims of COVID-19 Scams & Cybercrime Need to Act Fast
2020-06-17: FINRA Issues Warning: Pandemic Volatility Highlights Oil-Linked ETPs Unsuitable for Some Investors
2020-03-06: Attorney Pasieczny at 40th Annual NWSI in Seattle
2019-04-09: FINRA Expungement Proceedings
2019-02-19: Attorneys Blachly & Pasieczny Present on Combating Financial Elder Abuse
2019-02-06: Securities Attorney Darlene Pasieczny to Speak on FINRA Expungement Issues in Washington DC
2018-11-16: Were You a Client of Broker Daniel Noah Winger?
2018-11-06: Were You a Client of Broker Jameson Jeewon Shin?
2018-11-06: Elder Financial Abuse – Do I Have a Claim?
2018-10-30: Does My Investment Advisor Have Insurance?
2018-05-08: Pasieczny Moderates PIABA Panel on Cryptocurrency Investment Regulation
2018-05-08: Mediation and FINRA Arbitration
2018-02-08: Down Markets – A Good Time to Look For Red Flags and Recoverable Investment Losses
2018-02-08: Ten Red Flags for Investors
2018-02-05: New FINRA Rule to Help Prevent Elder Financial Abuse
2018-01-07: Investor Alert – NASAA and SEC Warn about Cryptocurrency Related Investments
2018-01-04: Investor Alert – Cryptocurrency Stock Scams
2017-12-28: Raymond James Fined $2 Million by FINRA for Supervisory Failures
2017-11-21: FINRA Expels New York Stockbroker Hank Mark Werner
2017-07-13: Dual-Registered Advisors Barred From Recommending 401(k) Rollovers
2016-02-12: George Merhoff and Energy Stocks – The Investigation Continues
2016-01-13: Before Hiring a Financial Professional – Ask These Questions
2015-12-07: Form U5 Information Gets to BrokerCheck Faster with New FINRA Rule Change
2015-09-25: LPL Financial In Trouble Again For Improper Sales of Non-Traded REITs
2015-05-20: Investor Alert: Kevin Winder Lesson – Beware of Promised High Return Investments
2015-05-07: LPL Financial – More Supervisory Failures in Sales of ETFs, Annuities, REITs
2015-04-21: New FINRA/SEC Report: Sales Practices Targeted at Seniors
2015-04-09: Are FINRA Arbitration Hearings for Securities Disputes Public Record?
2015-04-08: LPL’s Trail of REIT Sales Draws Complaints – Recover your LPL Loss
2015-04-06: FINRA Sanctions Oppenheimer $3.75 Million for Failure to Supervise Ex-Broker Mark Hotton
2015-03-30: Investor Confusion from Misleading Brokerage Industry Advertising – When is Your Advisor a Fiduciary?
2015-03-30: Investor Rights Update: Investor Choice and a Uniform Fiduciary Standard
2015-03-30: Supreme Court decides Omnicare Securities Case, Clarifies Section 11 Claim Standards
2015-03-30: New FINRA Report: $50 Billion Lost Yearly to Financial Fraud… Victims Suffer “Non-Traditional” Costs as Well as Direct Financial Losses
2015-01-27: Scrutiny of High Risk Investments Among FINRA’s 2015 Priorities
2015-01-14: Will the Texas Supreme Court Rule That Life Settlement Policies Are Investment Contracts?
2015-01-01: SWS Financial Services Variable Annuities
2015-01-01: Municipal Bonds
2015-01-01: Master Private Equity Fund
2015-01-01: Energy Investments
2015-01-01: Barclays Bank Delaware Certificates of Deposit Linked to the Performance of the Q-GSP Large Cap US Risk Controlled 5% USD ER Index due February 28, 2019
2015-01-01: American Realty Capital Properties Inc., (NASDAQ: ARCP)
2015-01-01: Inland American Non-Traded Real Estate Investment Trust (REITs)
2015-01-01: Contingent Income Auto-Callable Securities due September 5, 2013, Based on the Performance of the Common Stock of Apple Inc.
2015-01-01: Behringer Harvard REIT I Inc
2015-01-01: Callable Variable Rate Range Accrual CDs Linked to 6-Month USD LIBOR and the S&P 500 Index Due August 31, 2027
2015-01-01: Hines Global REIT
2015-01-01: Cole Credit Property Trust III
2015-01-01: Wells Timberland REIT
2015-01-01: Cornerstone Industrial Properties Leveraged Fund Advisors, LLC
2015-01-01: Hartford Director M Variable Annuity (multiple series)
2015-01-01: SunAmerica Polaris Retirement Protector
2015-01-01: AXA Equitable Accumulator Series
2015-01-01: Hartford Leaders Outlook Variable Annuity (multiple series)
2015-01-01: Aequitas Products
2014-12-05: The Consumer Federation of America is Seeking Investor’s Stories
2014-10-31: FINRA’s New Director Of Dispute Resolution – Richard Berry
2014-10-20: Confused About Crowdfunding Rules?
2014-10-04: UBS Puerto Rico Bond Fund
2014-10-03: SWS Financial Services Faces FINRA Charges For Improperly Supervised Sales of Variable Annuities
2014-07-29: Senators Push For Financial Reform
2014-06-18: Not just 401(k) Rollovers into IRAs, Brokers Target Retiring Employees with High Commission Variable Annuities and Non-Traded REITs
2014-06-12: A Uniform Fiduciary Standard For Brokers and RIAs: Is It Coming And Does It Matter?
2014-05-30: KEZI News Covers McKee Sentencing
2014-05-14: $1.2 Million JAMS Arbitration Award
2014-04-15: Proposed FINRA Expungement Rule – Nice Try, But Still Comes Up Short
2014-03-07: How Brokerage Reports Are Like Swiss Cheese
2014-01-06: SEC Raises Concerns About Reverse Churning In Fee Based Accounts
2013-10-28: Pasicezny Recognized For Her Work To Protect Investors
2013-10-25: FINRA’s BrokerCheck Under Fire
2013-10-04: Felony Charges for Walter & Kelly Ng, but Can Investors get Their Money Back?
2013-10-03: Adorean Boleancu – In Trouble With FINRA And In Court
2013-10-02: Fiduciary For Brokers AND Advisors
2013-09-26: FINRA Disciplinary Action: Cline, Burr, Christopher, Gillelan
2013-09-24: Concern with Private Placement Offerings
2013-09-20: Alert – Bankers Life Annuity
2013-09-19: New SEC Rules Make Public Arbitration Panel the Default Option
2013-09-19: Investment Product Warnings
2013-07-18: FINRA Warnings on IRA’s
2013-07-03: FINRA Disciplinary Actions: Stephen Pizzuti
2013-07-03: FINRA Disciplinary Actions: John W. DuBrule
2013-07-03: FINRA Disciplinary Actions: Kevin A. Tuttle
2013-06-25: More on Craig Berkman
2013-06-20: FINRA Disciplinary Actions: Ormond Hart Ormsby
2013-06-18: Complex VAs Draw SEC’s Attention
2013-06-17: New “Money Smart for Elder Adults” Guide
2013-06-16: REITs “In the Late Innings”
2013-06-15: June 15 is World Elder Abuse Awareness Day
2013-06-12: Oregon Expands Mandatory Elder-Abuse Reporters
2013-06-11: Pitfalls of Variable Annuities
2013-06-10: More “Disclosure Events” Removed from BrokerCheck
2013-06-04: Is SEC About to Undermine Fiduciary Standard?
2013-06-03: RIA Sector Likely to Consolidate
2013-05-20: Senate Launches Pension-Buying Probe
2013-05-18: New Regulations for Derivatives Market
2012-12-29: Elder Financial Abuse Growing
2012-12-28: DOJ Probing HP / Autonomy
2012-12-27: FINRA Fines Banks for Bond Misconduct
2012-12-26: Ninth Circuit Addresses Wells Fargo Overdrafts
2012-12-20: Herbalife Attacked as Fraud
2012-12-19: Industry Resists New ERISA Rules
2012-12-17: Plausible Challenge to Zeek Receiver
2012-12-16: “Cherry-Picking” at Aletheia
2012-12-14: Crowdfunding Hotly Anticipated
2012-12-14: 2013 at the SEC
2012-12-13: Provident Royalties CFO Indicted
2012-12-12: Mass. Regulators Move Against Nontraded REITS
2012-12-11: Former Oregon Governor Fraud Victim
2012-12-11: U.S. Representative from Oregon Jailed, Fined
2012-12-11: Judge: Investors Recover 1% of Losses
2012-12-10: Three More Traders Implicated in Grifphon Ponzi Scheme
2012-12-07: Peregrine Auction Nets .5% of Shortfall
2012-12-07: Lead Plaintiffs Named in two Facebook IPO Suits
2012-12-06: ZeekRewards Breaks New Ground in Clawback Litigation
2012-12-05: Secretly Recording FINRA Arbitration
2012-12-05: Neuroscience and Elder Abuse
2012-12-05: ZeekRewards Affiliates Move to Stop Receiver
2012-12-04: FBI Criminal Conviction in Online Pump-And-Dump
2012-12-03: SEC Will Delay Huge Market Tracking System
2012-12-03: Trustee Under Fire in New Mexico Ponzi Clawback
2012-11-29: FINRA Wants to Reveal Brokers’ Compensation
2012-11-29: JOBS Act Likely to Increase Investment Fraud
2012-11-26: SCOTUS Consistent, Again, on Federal Arbitration Act
2012-11-14: Corporate Executives Newly Vulnerable in Section 304 Clawback Ruling
2012-11-13: Largest Insider-Trading Case Calued at $276M
2012-10-23: Head of Providence Capital Indemnity Jailed
2012-10-23: State-Level Securities Regulation more Aggressive
2012-10-18: HSBC Sued Over “Reverse Redlining”
2012-10-04: More Indictments for Scott McKee
2012-09-27: FINRA Investor Alert on “When Trading Stops”
2012-09-25: Upcoming SCOTUS Case Examines ‘Discovery Rule’
2012-09-24: FINRA Censures and Fines Merrill Lynch
2012-08-30: We’re Adding Some Brain Power to our 30 Years of Experience
2012-08-29: Clawback Claims Coming to ZeekRewards Ponzi Scheme?
2012-08-13: Addition of Darlene Pasieczny to the Firm
2012-06-08: Update on Meridian Clawback Claims
2012-05-21: Meeting for Meridian Victims Scheduled
2012-05-21: Investigation of Non-Traded REITs for Non-Disclosure of Investment Risks
2012-05-17: Alert for Meridian Mortgage Investors
2012-05-17: Investigation of Meridian Mortgage “Clawback” Claim
2012-05-16: Meridian Mortgage Investors in “Clawback” Claims Brought by Trustee Mark Calvert
2012-03-26: Are you at Risk for Investment Fraud?
2012-02-16: FINRA Files Claim Alleging McKee’s Trail of Fraud
2012-02-07: Richard Thomas and SSI Investments Named as Respondents
2012-02-02: Investors Warned of J. Scott McKee
2012-01-27: Demand Sent on Behalf of Former Scott McKee Investors
2012-01-19: Continuing Investigation into James Scott McKee
2012-01-19: More Grifphon Alpha Fund Victims Emerge
2012-01-19: Our Client Awarded $7.8 Million
2012-01-19: Retained by Sikh Dharma International
2011-10-12: A New Movie, “Gold Diggers: Investment Fraud in the Treasure State”, Debuts in Montana
2011-10-05: Update for Clients of James Scott McKee and Berthel Fisher LLP
2011-09-30: New Investigation Into Possible South Dakota Ponzi Scheme
2011-09-23: Six Hooks that Lure Investors
2011-09-15: Gold Scams Attract Investors & Fraudulent Activity
2011-09-07: Amicus Brief Filed on Behalf of Oregon Investors
2011-08-31: Clients of J. Scott McKee Gathered
2011-08-28: Grifphon Claims Update
2011-08-25: Investigation Into Scott McKee Expands
2011-08-18: Meeting for Quality Financial Group Investors
2011-08-09: Claim Against Symetra Investment Services Broker for Selling Away
2011-08-05: Watchdog for the Elderly
2011-07-28: High Yield Temptation
2011-07-23: Understanding REIT Risks
2011-07-22: Apple REITs Under FINRA Investigation
2011-07-21: File Individual Claims for Apple REITs
2011-07-18: Our “Superb” Rating from Avvo
2011-07-17: Become a FINRA Arbitrator
2011-07-17: $7.8 Million Dollar Jury Verdict for Client
2011-07-12: Bedrocks Coffee, LLC Investigation
2011-05-27: Former LPL Financial and Berthel Fisher Broker Under Investigation
2011-04-08: Exchange with SEC Chair Reported in Sunday’s Oregonian
2011-04-08: Grifphon Asset Management Under Investigation
2011-04-08: Office Moves to Wells Fargo Center
2011-03-01: FINRA Arbitration FAQ
2010-12-10: Grifphon’s Excuses in the Portland Business Journal

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