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

Brian Smiley Receives PIABA’s 2014 Distinguished Service Award

November 17, 2014 by lmitchum

On October 24, 2014, the Public Investors Arbitration Bar Association (PIABA), an international bar association comprised of attorneys dedicated to the representation of individual investors in disputes with the securities industry, announced the 2014 PIABA Distinguished Service Award recipient, Brian N. Smiley. Brian is a former president of PIABA and member of its board of […]

Filed Under: Firm News Tagged With: Atlanta Securities arbitration attorney, Atlanta securities law firm, Investment Fraud Attorney, Securities Arbitration Attorney, Securities Law Firm

Wells Fargo Broker and Poet Sanctioned for Defrauding Widow

March 15, 2013 by lmitchum

Adorean Boleancu was a Wells Fargo Private Banker and Senior Vice President who the San Francisco Sentinel described in 2008 as the “Hottest Financial Advisor to the Swells.” One of his clients (but maybe not one of the “Swells”) was a woman the Financial Industry Regulatory Authority (FINRA) characterized as an elderly, inexperienced and unsophisticated […]

Filed Under: Blog Tagged With: Atlanta investment fraud attorney, Atlanta securities fraud lawyer, Atlanta securities law firm, Atlanta Securities Lawyers, Investment Fraud Attorney, Wells Fargo

Beware the Registered Investment Adviser

November 1, 2011 by jordan

Beware the Registered Investment Adviser

Brian Smiley was quoted in a recent Bloomberg Businessweek article discussing Registered Investment Adviser’s. In theory, RIAs are legally bound to put their clients’ interests first, but in practice, they offer few protections for investors.

Filed Under: SBP In The Press Tagged With: Investment Fraud Attorney, Registered Investment Adviser, Securities Law

FINRA Issues Warning About Structured Products, High Yield Bonds, and Floating-Rate Funds

August 1, 2011 by jordan

FINRA Issues Warning About Structured Products, High Yield Bonds, and Floating-Rate Funds

The paltry returns from many traditional income investments like government bonds and CDs and the volatility of stocks have inspired brokers to push investments that promise high yields, but often carry hidden dangers. According to a recent release from the Financial Industry Regulatory Authority (FINRA), these kind of investments include high-yield bonds, floating-rate loan funds […]

Filed Under: Blog Tagged With: FINRA, Investment Fraud Attorney, Leveraged ETF, Principal Protected Notes, Securities Lawyers

Registered Advisers Increase by 39%

July 7, 2011 by legalppc

Registered Advisers Increase by 39%

Commenting on the risk of losing money to thinly capitalized investment advisors, Atlanta-based securities lawyer Brian Smiley is quoted as saying, “If a large brokerage firm defrauds you, at least they have the money to pay you back.”

Filed Under: SBP In The Press Tagged With: Investment Fraud Attorney, Registered Investment Adviser, Securities Law

Fraudulent Stock Tips and The Japanese Disaster

June 30, 2011 by jordan

It takes a cold, cold heart to exploit a natural disaster as a hook to defraud stock market investors. But according to a recent FINRA Alert, that is exactly what is happening in the wake of the Japanese earthquake, tsunami, and nuclear meltdown. FINRA reports that “con-artists” are engaging in “pump-and-dump” schemes to inflate the […]

Filed Under: Blog Tagged With: FINRA, Investment Fraud Attorney, SEC, Securities Fraud Lawyer, Stock Fraud Attorney

David Lerner & Associates, Inc. Apple REITs Investigation

June 17, 2011 by jordan

Investors in Apple REIT Ten sold by David Lerner & Associates, Inc. (“DLA) have reason to consider their legal options. FINRA recently filed a complaint against DLA, the underwriter of Apple REIT Ten which invests in extended stay hotels. FINRA alleges that DLA sold this investment to elderly and unsophisticated clients despite having failed to […]

Filed Under: Current Investigations Tagged With: Apple REITs, FINRA, Investment Fraud Attorney, Securities Arbitration Attorney

Initial Impressions: What Do Financial Planning Designations Mean?

June 14, 2011 by jordan

If there is one thing that is not in short supply in the financial planning profession it’s initials. Professional designations in the financial planning business include CFPs, CFAs, ChFCs, RIAs, RRs, and CSAs to list only a few. To make things even more confusing, many people carry multiple designations. While no professional designation guarantees wisdom […]

Filed Under: Blog Tagged With: FINRA, Investment Fraud Attorney, SEC, Securities Law Firm, Securities Lawyers

Investors Warned About Stock-Based Loan Programs

June 1, 2011 by jordan

Investors Warned About Stock-Based Loan Programs

FINRA has issued an Investor Alert to warn investors about stock-based loan programs. Brokers, financial planners, insurance agents and other advisors are pitching these programs as a way for clients to tap into the value of their stock holdings without having to sell their shares. The idea is that the broker will arrange for the […]

Filed Under: Blog Tagged With: FINRA, Investment Fraud Attorney, Securities Law Firm, Stock Fraud Attorney

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