Investor Blog

About Cody

Cody represents investors who have lost money or been harmed by fraud and other financial misconduct.


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About the Blog

This blog is intended to provide information to the general public and to practitioners about developments that may impact investors in Oregon and across the country.

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SEC Division of Examinations Announces Priorities for 2022

The SEC Division of Examinations announced its 2022 examination priorities in late March. The priorities include a “focus on private funds, environmental, social and governance (ESG) investing, retail investor protections, information security and operational resiliency, emerging technologies, and crypto-assets.”

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Tax Avoidance, IRAs, and Precious Metals

A recent Wall Street Journal article, A Couple Stored IRA Gold at Home. They Owe the IRS More than $300,000, is a reminder about what can be complex rules for using an IRA to invest in esoteric assets, such as gold, silver, platinum, and other precious metals.

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SEC Issues Wrap Fee Risk Alert

The SEC’s Division of Examinations issued a Risk Alert about wrap fee programs used by investment advisers. Wrap fee programs require advisory clients to pay a consolidated fee for investment advisory services and other expenses, such as commissions, trading fees, and administrative costs.

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SEC Gives Guidance About Certain Leveraged and Complex Exchange Traded Products

The SEC recently issued a public statement regarding certain leveraged and complex exchange traded products. The public statement begins by emphasizing that advisers and broker-dealers must actually understand the products they recommend to clients. The SEC wrote, “It is critically important for registered investment advisers and broker-dealers to implement robust and effective policies and procedures reasonably designed to prevent violations of the federal securities laws, which includes ensuring that their financial professionals understand the risks and purposes

Learn More » Accused of Selling Fraudulently Overpriced Gold and Silver Bullion and its parent company, TMTE, Inc., along with Chase Metals, LLC, Chase Metals, Inc., Barrick Capital, Inc., and its principals Lucas Asher (aka Lucas Thomas Erb, aka Luke Asher) and Simon Batashvili are alleged to have run a nationwide fraud that brought in more than $185 million in money from customers to buy fraudulently overpriced gold and silver bullion.

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