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

Smiley Presentation Receives National Press

November 17, 2014 by lmitchum

Brian Smiley moderated a panel discussion on “The Arbitrator’s Perspective” at the 2014 PIABA Annual Meeting in La Quinta, California. Brian has spoken over 15 times at PIABA meetings on topics ranging from brokerage misconduct to arbitration strategy and techniques. This most recent presentation was the subject of a 10/27/2014 article http://www.thestreet.com/story/12927272/1/fighting-your-broker-in-arbitration-finra-judges-give-some-tips.html in TheStreet by […]

Filed Under: SBP In The Press Tagged With: Atlanta Securities arbitration attorney, FINRA, FINRA Arbitration, Securities Arbitration Attorney, Securities Fraud Lawyer

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

An Outline of the FINRA Arbitration Process For Customer-Broker Disputes

April 20, 2011 by jordan

I.          General A.        Nearly all brokerage firms require retail clients to sign an agreement to have all disputes between them decided in arbitration rather than court. B.        About 25 years ago, in Shearson/Am. Express, Inc. v. McMahon, 402 U.S. 220 (1987), the U.S. Supreme Court upheld the validity of arbitration clauses which require clients to […]

Filed Under: Articles Tagged With: FINRA, FINRA Arbitration, Investment Fraud Attorney, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

Reverse Convertible Notes Sold By Brokers Under Regulatory Investigation

March 31, 2011 by jordan

According to Bloomberg, the SEC is investigating to see if investors were defrauded into buying complex bonds known as reverse convertible notes. Reverse convertibles are securities that promise to pay investors a comparatively high fixed rate of interest and repay the investor’s principal , unless a stock to which the product is linked falls below […]

Filed Under: Blog Tagged With: Citigroup, FINRA, JP Morgan, Lehman Brothers, Reverse Convertible Notes, SEC, Securities Fraud Lawyer, Wachovia

Fraudulent and Unsuitable Private Placements

March 25, 2011 by jordan

Under the federal and state securities laws, most securities must be registered with the SEC before they can be solicited or sold to the investing public. In the issuer’s registration statement and in periodic reports filed after a company goes public, the issuer of securities provides detailed financial information which reasonable investors can use to […]

Filed Under: Investment Products Tagged With: Investment Fraud Attorney, Private Placements, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers

Private Placement Securities

March 25, 2011 by jordan

Smiley Bishop & Porter LLP is investigating the fraudulent or unsuitable sales of private placement securities to brokerage firm clients. Click here for a detailed examination of private placements. The lack of transparency in the private placement market has allowed it to become a fertile breeding ground for fraud that has generated regulatory investigations and […]

Filed Under: Current Investigations Tagged With: Investment Fraud Attorney, Private Placements, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Lawyers, Stock Fraud Attorney

Securities America/Medical Capital and Provident Royalties

March 22, 2011 by jordan

Smiley Bishop & Porter LLP is investigating Securities America’s Medical Capital, Inc. promissory notes and Provident Royalties preferred stock. Clients have brought claims against the firm alleging that it failed to adequately investigate these products, that the investments were unsuitable, and that the firm did not disclose the products’ risks, which were substantial. The Securities […]

Filed Under: Current Investigations Tagged With: FINRA Arbitration, Investment Fraud Attorney, Medical Capital, Provident Royalties, SEC, Securities America, Securities Arbitration Attorney, Securities Fraud Lawyer, Stock Fraud Attorney

Citigroup/Smith Barney MAT/ASTA Funds

March 11, 2011 by lmitchum

Smiley Bishop & Porter LLP is investigating the Citigroup/Smith Barney MAT/ASTA Hedge Funds. The Funds were allegedly marketed as conservative, suitable investments. Unfortunately, the Funds were heavily leveraged and exposed to higher risk than represented. The Funds were involved in a risky investment strategy known as municipal arbitrage, and many investors were unaware of the […]

Filed Under: Current Investigations Tagged With: Citigroup, Investment Fraud Attorney, MAT/ASTA, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

MAT/ASTA Fund

March 11, 2011 by lmitchum

In 2002, Citigroup’s Smith Barney brokerage unit started marketing six MAT/ASTA hedge funds to its clients. These Citigroup proprietary funds were trusts, which used borrowed money to buy municipal bonds, and were supposed to make profits based on the spread in interest rates between borrowed and invested funds. Total assets in these funds were approximately […]

Filed Under: Investment Products Tagged With: Investment Fraud Attorney, MAT/ASTA, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

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