Smiley Bishop & Porter LLP

Securities Arbitration & Business Litigation Attorneys

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SBP Represents Clients of Former Broker Blake Richards

December 11, 2014 by lmitchum

Smiley Bishop & Porter has been engaged to represent former clients of Blake Richards, a Buford, Georgia broker who has been barred from the securities industry for fraud and misappropriation. Richards was employed by several firms including H&R Block Financial Advisors, Ameriprise Advisor Services, Inc. and LPL Financial, Inc. Richards defrauded his clients, who included […]

Filed Under: Current Investigations Tagged With: Atlanta investment fraud attorney, Atlanta securities fraud lawyer, Atlanta Securities Lawyers, Atlanta stock fraud attorney, Investment Fraud Attorney, Securities Fraud Lawyer

Mike Bishop elected president of North Fulton Bar Association

February 20, 2013 by lmitchum

Smiley Bishop & Porter partner J. Michael Bishop has been elected president of the North Fulton Bar Association for 2012-2013. The NFBA consists of approximately 130 members who are primarily lawyers practicing or living north of the Chattahoochee River in the Atlanta, Georgia metropolitan area. Its membership also includes judges whose jurisdictions include North Fulton County. […]

Filed Under: Firm News Tagged With: Atlanta stock fraud attorney, Securities Arbitration Attorney, Securities Law Firm, Securities Lawyers

FINRA Head Explains Perils of Complex Investment Products

October 31, 2012 by lmitchum

Richard G. Ketchum, Chairman and CEO of FINRA, appeared before the securities industry trade group SIFMA at its Complex Products Forum on September 27, 2012 in New York to admonish brokerage firms about the perils and obligations involved in marketing complex investment products to investors. According to Ketchum, while there is no legal definition of […]

Filed Under: Blog Tagged With: asset-backed securities, Atlanta investment fraud attorney, Atlanta Securities arbitration attorney, Atlanta securities law firm, Atlanta Securities Lawyers, Atlanta stock fraud attorney, Collateralized Debt Obligations, complex investment products, FINRA, leveraged and inverse ETFs, structured notes

Houston & Lett v. Wells Fargo Advisors

February 21, 2012 by lmitchum

(FINRA, 2011) Elderly Investor Recovers Losses Tied to UIT After a four day hearing, a panel of FINRA arbitrators awarded $130,000.00 in compensatory damages to our clients.  The damages were for losses incurred by an elderly woman with Alzheimer’s disease whose funds were invested primarily in high-risk securities, including a Claymore Unit Investment Trust (“UIT”).

Filed Under: Winning Cases Tagged With: Atlanta investment fraud attorney, Atlanta Securities arbitration attorney, Atlanta securities fraud lawyer, Atlanta securities law firm, Atlanta Securities Lawyers, Atlanta stock fraud attorney, claymore, UIT, unit investment trust

What’s a UIT?

December 7, 2011 by lmitchum

With apologies to “My Cousin Vinnie,” a UIT is a Unit Investment Trust. UITs are investment products that brokers love to sell and investors should avoid. UITs are portfolios of stocks, bonds, or mutual funds which are assembled by trustees and then sold in units consisting of a portion of all of the assets in […]

Filed Under: Blog Tagged With: Atlanta investment fraud attorney, Atlanta Securities arbitration attorney, Atlanta securities fraud lawyer, Atlanta securities law firm, Atlanta stock fraud attorney, UIT

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