CNL Healthcare Properties is a non-traded real estate investment trust (REIT). Headquartered in Orlando, Florida, this investment entity primarily holds assets in senior-citizen housing and[...]
Investment Loss Investigations
Last week, the Montgomery County Prosecutor’s Office announced an indictment against former broker John Gregory Schmidt (CRD#: 708094). He was then arrested on 124 counts[...]
Last week, the Financial Industry Regulatory Authority (FINRA) ordered Morgan Stanley Smith Barney, LLC pay two of its former clients a total of $4.2 million.[...]
A December 20th FINRA regulatory decision charged previously registered brokers Ami Forte (CRD#: 2457536) and Charles Joseph Lawrence (CRD#: 3131566) for violating NASD and FINRA[...]
A December 13 press release states the SEC has charged ex-Securities America advisor Hector May (CRD#: 323779) for conducting a Ponzi scheme with his daughter,[...]
Woodbridge Investments Litigation (Class Action vs. Comerica Bank, Case No 18-00103-dmg-ks, Central District of California) This consolidated action (against Comerica Bank) is a putative class[...]
Charles E. Taylor (CRD#: 443066), Jodi O. Padgett (CRD#: 1828918), John L. Farmer (CRD#: 5354041) are all registered brokers and General Securities Representatives with Royal[...]
Michael Dennis Jackson (CRD#: 2784958) is a former broker and financial advisor. From 2009 to 2017, Mr. Jackson was a representative of Securities America. During[...]
Jorge A. Reyes (CRD#: 4256834) is a former registered securities broker. From 2010 to 2017, Mr. Reyes was employed at CP Capital Securities in Miami,[...]
Nancy Kimball Mellon (CRD#: 1253484) is a formerly registered broker and investment advisor. Mellon worked with Wells Fargo Advisors from 2012-2017. She was fired by[...]