INVESTORS: Investment Adviser Arthur S. Hoffman was charged with fraud by the SEC following allegations of failure to disclose financial conflicts of interest. On February[...]
Investment Loss Investigations
INVESTORS: The SEC charged Safeguard Metals, LLC and its owner Jeffrey Santulan for engaging in a multi-million dollar fraudulent scheme that reportedly targeted retirees. The[...]
It’s getting ugly very quickly for the GWG L bonds, their investors, and the financial advisers and brokers who sold them. – InvestmentNews.com Sonn Law[...]
INVESTORS: California-based Investment Adviser Mark Boucher and his company Strategic Wealth Advisor Group Services (SWAG) were charged with defrauding advisory clients by misappropriating more than[...]
INVESTORS: The Fulton County Superior Court in Atlanta, Georgia vacated an arbitration award to Wells Fargo after discovering that Wells Fargo and their outside counsel,[...]
What current and prospective clients should know about complaints and regulatory actions against SagePoint Financial SagePoint Financial (CRD#: 133763) is a brokerage firm and investment[...]
INVESTORS: FINRA fined Triad Advisors $705k for failure to supervise which resulted in sales of now-defunct risky alternative investments, including investments in LJM Preservation &[...]
INVESTORS: The SEC filed an emergency action to shut down a multi-million dollar Ponzi scheme operated by Marco “Sully” Perez On December 14, 2021, the[...]
INVESTORS: San Diego-based companies Fusion Hotel Management, LLC, Fusion Hospitality Corporation, and their founder, Denny T. Bhakta, were charged by the SEC with operating a[...]
Attention Voya Employees in the Voya 401(K) Plan: A group of former Voya Financial Inc. employees sued the company this week, claiming the firm should[...]