The Financial Industry Regulatory Authority (FINRA) regulates over 600k individual registered representatives, commonly referred to as stockbrokers or financial advisors. In 2017 alone FINRA received over 3,000 complaints from investors. 733 individual brokers were suspended and nearly 500 others were barred from the financial services industry entirely.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their investment advisor or stockbroker. We invite you to explore the articles below to get up-to-date information on brokers who we are currently investigating for misconduct. If you see your advisor’s name in the articles below, it’s worth reading about their regulatory history.
If you’ve suffered significant investment losses, click here to understand why it’s critical that you speak with an attorney about your options. When you’re ready, contact our firm for a free, no obligation review of your case.
Browse Investment Loss News Related to Brokers, Advisors, and Firms
- What Is Excessive Use of Margin Trading? (12/12/2024)
- What Is Broker Negligence? (11/25/2024)
- Yieldstreet Investors Reach Preliminary Approval of $9.95 Million Class Action Settlement (11/21/2024)
- What is an Investment Fraud Lawyer? (10/29/2024)
- Ryan Riley, Virginia-Based Investment Advisor, Charged by SEC with Defrauding Customers (3/23/2023)
- Kevin and Sean Kane, Father-Son Advisory Team, Charged by SEC for Fraud (3/22/2023)
- SVB Financial Group Investors File Class Action Lawsuit (3/15/2023)
- Losses in SVB Financial Group? Sonn Law Group Invites Investors to Contact the Firm to Discuss Options (3/14/2023)
- Long Island Financial Group Fined by FINRA for Violating Regulation Best Interest (2/20/2023)
- FINRA Fines Los Angeles-Based Wedbush Securities for Inadequate Oversight Systems (1/24/2023)
- Cardone Capital Investors May Have Claims for Damages (1/15/2023)
- UCB Financial Advisors Fined $5.7M by SEC Over Cherry-Picking Charges (12/19/2022)
- Morgan Stanley Hit with $11.5M Arbitration Settlement Over Options Strategy Gone Sideways (12/5/2022)
- Sonn Law Group Investigating BlockFi for Freezing Withdrawals (11/11/2022)
- Sonn Law Group PA Investigating Claims for FTX Customers (11/10/2022)
- SEC Charges the Estate of Stephen Romney Swensen and Crew Capital Group, LLC, with Operating Fraudulent Investment Offering (10/21/2022)
- Did You Face a Massive Tax Bill Due to Vanguard Target Date Retirement Fund Sell-Off? Recover Your Losses. (10/7/2022)
- SEC Charges James Arthur McDonald, Jr. and His SEC-Registered Investment Adviser Firm, Hercules Investments, LLC with Offering Fraudulent Securities (10/5/2022)
- SEC Charges California-based Real Estate Investment Firm, Secured Income Group, With $100M Offering Fraud (10/3/2022)
- Marc Frankel Charged by SEC with Stealing from Clients (9/17/2022)
- Ramas Capital Management, LLC and Owner Ganesh Betanabhatla Charged by SEC with Fraud (9/16/2022)
- Gregory Lindberg and Christopher Herwig Charged by SEC with Defrauding Clients Out of More Than $75 Million (9/15/2022)
- Pavel Ruiz Charged by SEC with Engaging in a Fraudulent Securities Offering and Ponzi Scheme (9/14/2022)
- Losses in GWG Holdings L Bonds? Investors Have Claims for Damages (9/5/2022)
- Anthony Mastroianni Charged by SEC with Scamming Investors Out of Over $1M (8/22/2022)
- SEC Charges Western International Securities and Several Registered Representatives with Violating Regulation Best Interest Standards (7/10/2022)
- SEC Names Terry Nikopoulos and Other Defendants in Action Alleging Operation of $3 Million Ponzi Scheme (7/8/2022)
- SEC Names Multiple Defendants in Action Alleging $450 Million Ponzi Scheme (7/7/2022)
- SEC Announces Fraud Charges Against Former Investment Adviser and Public Company CEO Martin A. Sumichrast (6/4/2022)
- SEC Announces Fraud Charges Against Cornerstone Acquisition & Management Company and Its Principals (6/3/2022)
- SEC Announces Fraud Charges Against Detroit-Based EIA All Weather Alpha Fund I Partners LLC (6/2/2022)
- SEC Obtains Asset Freeze Against StraightPath Venture Partners and StraightPath Management (5/25/2022)
- GWG Holdings, Inc. Shares Delisted from Nasdaq Stock Market (5/24/2022)
- Wells Fargo Ordered to Pay Former Credit Suisse Broker Nearly $1M Following Deferred Compensation Suit (5/23/2022)
- GK Investment Holdings, LLC (“GKIH”) 7% Bonds Will Default if Maturity Date is Not Extended (5/4/2022)
- SEC: Synergy Settlement Services Defrauded Personal Injury Victims with Disabilities via Sham Non-profit (5/4/2022)
- Emerson Equity and Newbridge Securities Face Customer Complaints Over GWG L Bonds (4/26/2022)
- Central American Couple Pursues 6-Figure Northstar Financial Services (Bermuda) Claim Against Ocean Financial Services (4/13/2022)
- High-Yield Bond Funds Losses: Options for Investors (4/12/2022)
- SEC Charges California Resident and His Investment Firm for Undisclosed Conflicts of Interest (4/8/2022)
- SEC Obtains Default Judgment Against Former Broker Scott Fries Following Allegations of Defrauding Retail Investors (3/29/2022)
- SEC Charges Former New Jersey Broker with Misappropriation of Client Funds (3/28/2022)
- FINRA Orders Colorado-based Geneos Wealth Management to Pay $400k (3/22/2022)
- Kentucky Teachers’ Retirement Fund Loses $3M After Selling Investment in Russian Bank (3/10/2022)
- Las Vegas Attorney Matthew Beasley Accused of Running $300M Ponzi Scheme; Shot by FBI Agents Amid Confrontation During Questioning (3/9/2022)
- Registered Investment Adviser Cambridge Investment Research Advisors Charged by SEC with Failing to Disclose Conflicts (3/7/2022)
- Former Broker Joseph DeGregorio Charged by SEC with Stealing from Elderly Investors (3/5/2022)
- Investment Adviser Bell Rock Capital and its Principal, M. Cassandra Toroian Charged by SEC with Conducting Fraudulent Cherry-Picking Scheme (3/3/2022)
- Investment Adviser Arthur S. Hoffman Charged by SEC with Failure to Disclose Financial Conflicts of Interest (3/1/2022)
- Safeguard Metals and Owner Jeffrey Santulan Charged by SEC With Engaging in Multi-Million Dollar Fraudulent Scheme (2/17/2022)
- Silence is not golden for GWG bondholders (InvestmentNews.com) (2/17/2022)
- SEC Secures Summary Judgment Against California-based Investment Adviser Mark Boucher and Strategic Wealth Advisor Group Services (2/16/2022)
- Lawmakers Elizabeth Warren and Katie Porter Request More Information After Georgia Court Vacates Arbitration Award (2/10/2022)
- Brokerage Firm Review: SagePoint Financial (1/13/2022)
- Triad Advisors Fined $705K by FINRA for Failure to Supervise Which Resulted in Sales of Now-Defunct Risky Alternative Investments (1/10/2022)
- SEC Files Emergency Action to Shut Down Texas-Based Ponzi Scheme Operated by Marco “Sully” Perez (12/31/2021)
- SEC Charges Fusion Hotel Management, LLC and Founder Denny T. Bhakta with Operating Ponzi Scheme (12/28/2021)
- Voya Employees 401k Class Action Lawsuit Investigation (12/16/2021)
- Wells Fargo Hit with $3M Fine Over Unit Investment Trusts (12/16/2021)
- SEC Charges Former Illinois Investment Professional Ronald T. Molo with Fraud (12/13/2021)
- SEC Alleges That The Heartland Group Ventures, LLC is a $122M Ponzi-like Scheme (12/9/2021)
- Business Development Corporation of America (BDCA) Investment Losses (11/30/2021)
- SEC Charges Lina Maria Garcia of Miami-based UCB Financial Advisers with Running Cherry Picking Scheme (11/20/2021)
- SEC Charges Joshua Burrell (Activated Capital, LLC) with $6.3M Securities Fraud (11/18/2021)
- Arcadian New Venture LP Investment Losses (11/18/2021)
- SEC Charges New Jersey Claims Aggregator and Its Principals with Fraud (11/18/2021)
- Michigan Financial Advisor Steven Muntin Charged by SEC with Fraud (11/18/2021)
- SEC Charges John J. Woods (Horizon Private Equity, III, LLC) of Running Decade-Long, $110M Ponzi Scheme (11/17/2021)
- Northstar Financial Services (Bermuda), Ltd: Investment Loss Recovery (11/11/2021)
- SEC Charges Swapnil Rege and His Company SwapStar Capital with Stealing Funds From Clients (11/10/2021)
- Epitome Investment Fund Investment Losses (11/8/2021)
- SEC Accuses AlphaPlus Portfolio Recovery Corp. Principals of Stealing $40M from Settlement Funds for Harmed Investors (11/8/2021)
- SEC Accuses BNZ One Capital Principals of Operating $13.5 Million Ponzi-Like Scheme (11/1/2021)
- SEC Obtains Final Judgment Against Investment Professional Marcus Boggs (10/29/2021)
- SEC Charges Swapnil Rege and His Company SwapStar Capital with Stealing Funds From Clients (10/29/2021)
- Hillstone Capital LLC Investment Losses (10/27/2021)
- SEC Accuses Sky Group USA and CEO Efrain Betancourt, Jr. of Operating $66M Promissory Note Scam (10/12/2021)
- Department of Justice Charges Chicago Trader Keith Wakefield with Securities Fraud (10/7/2021)
- SEC Charges TCFG Investment Advisors, Affiliated Broker-Dealer and Its President Alleging Materially False and Misleading Statements (10/7/2021)
- SEC Accuses Ron K. Harrison of Global Trading Institute, LLC of Ongoing Investment Advisory Fraud (10/6/2021)
- SEC Charges Back to Green Mining, LLC, and Managing Members with Fraud (9/30/2021)
- Missouri-Based Investment Adviser Buttonwood Financial Group Accused of Investing Clients in Higher Cost Mutual Funds to Avoid Transaction Fees (9/30/2021)
- Conservation Easement Investment Losses (9/30/2021)
- Biscayne Capital Owners Indicted, Accused of Operating $155 Million Investment Fraud (9/27/2021)
- Investors in Million Dollar Ponzi Scheme Collaborate for Maximum Recovery (9/20/2021)
- ElectroCore, Inc. Investment Losses (9/9/2021)
- SEC Charges Mississippi Company and Its Principal with Operating a Ponzi Scheme (9/9/2021)
- SEC Charges Minnesota Couple with Operating $18 Million Ponzi Scheme (9/9/2021)
- Former Morgan Stanley Broker Sues Firm Over Deferred Compensation Denial (8/26/2021)
- SEC Charges Robert J. Mueller of deeproot funds LLC with Operating $58M Ponzi Scheme (8/24/2021)
- SEC Obtains Court Order Against New York Investment Adviser Martin Ruiz (8/19/2021)
- Las Vegas-Based Profit Connection Wealth Services, Inc., Charged by SEC with Fraud (8/16/2021)
- Activision Blizzard, Inc., Facing Allegations of Permitting a Workplace Culture of Sexual Harassment (8/16/2021)
- Sigma Financial Corporation: Information for Investors (8/15/2021)
- MJ Capital Ponzi Scheme (8/15/2021)
- Monarch Capital Investment Fund, LLC Ordered to Cease and Desist by Missouri Securities Division (8/12/2021)
- Mine Shaft Brewing and its Principals Charged by SEC with Fraud (8/12/2021)
- SEC Charges Florida-Based Company, The Republic Group, with Defrauding Investors (8/12/2021)
- Sonn Law Group Investigating Stallion Real Estate Funds (8/5/2021)
- Medley Management Investment Losses (7/28/2021)
- Oatly Group AB Investment Losses (7/28/2021)
- NEXT Financial Consents to $750K FINRA Penalty for Sales Violations (7/23/2021)
- Commonwealth Financial Network Complaints: Information for Investors (7/20/2021)
- Securities America Advisors Ordered to Pay $1.75 Civil Penalty for Failing to Protect Clients from Ponzi Scheme (7/19/2021)
- Wells Fargo Advisors Complaints: Information for Investors (7/16/2021)
- AXA Advisors Complaints: Information for Investors (7/16/2021)
- TD Ameritrade Complaints: Information for Investors (7/15/2021)
- Park Avenue Securities Complaints: Information for Investors (7/14/2021)
- Sonn Law Says that the Banks Who Advised the Puerto Rico Government to Issue Bonds should pay the Nearly $1 Billion in Legal Fees Charged By Attorneys and Professionals to Restructure Puerto Rico’s Debt (7/14/2021)
- Benefit Street Partners REIT Investment Losses (7/7/2021)
- Prestige Equity Ordered to Cease and Desist Operations; Accused of Being a Fraudulent Investment Scheme (7/7/2021)
- Did You Suffer Losses Investing with Gregory Paris of Barrington Asset Management, Inc.? (7/6/2021)
- Investigation: MR (Mark Ray) Cattle, Accused Ponzi Scheme (7/2/2021)
- Brokerage Firm Review: HD Vest Financial Services (7/1/2021)
- Robinhood Fined $70 Million; Sonn Law Investigating Claims That Robinhood Wrongfully Approved Option Accounts (7/1/2021)
- Did You Suffer Significant Losses Investing in Peachtree Hotel Value & Income Fund II and Related Funds? (6/24/2021)
- Recovering Investment Losses in Special Purpose Acquisition Companies (SPACs) (6/22/2021)
- Did You Suffer Significant Losses Investing in the Hospitality Investors Trust (HIT) REIT? (6/17/2021)
- Emergent Capital, Inc. Investment Losses (6/14/2021)
- Premium Healthcare Solution, LLC Charged by SEC with Fraudulently Raising Nearly $4M from Investors (6/14/2021)
- SEC Charges BitConnect Promoters with Selling Unregistered Securities (6/4/2021)
- Legend Securities Complaints: Information for Investors (5/20/2021)
- Presidential Brokerage Complaints: Information for Investors (5/18/2021)
- Newbridge Securities Complaints: Information for Investors (5/17/2021)
- ProEquities Complaints: Information for Investors (5/14/2021)
- Invest Financial Corporation Complaints: Information for Investors (5/14/2021)
- Purshe Kaplan Sterling Investments Complaints: Information for Investors (5/14/2021)
- FF Fund Management, LLC Investment Losses (5/10/2021)
- Washington Prime Group, Inc. Investment Losses (4/26/2021)
- Infinity Q Capital Management, LLC Investment Losses (4/26/2021)
- GPB Capital Holdings Investment Losses with Geneos Wealth Management (4/19/2021)
- GPB Capital Lawsuit News & Updates — Recover Your Investment Losses (4/14/2021)
- Archegos Capital Management Margin Losses (3/31/2021)
- Zona Energy, Inc. Investment Losses (3/31/2021)
- ERF Wireless, Inc. Investment Losses (3/31/2021)
- Richman Energy, Inc., Investment Losses (3/31/2021)
- Mewbourne Energy Partners 17-A Investment Losses (3/31/2021)
- Credit Suisse Expects Fund Defaults; Investors Threaten Litigation (3/23/2021)
- GPB Capital Holdings Fraud Trial Put on Hold (3/16/2021)
- Triad Advisors Named in Customer Complaints Alleging Sales of GPB Capital (2/28/2021)
- Claimant Awarded Damages in FINRA Arbitration for Losses Sustained Investing in GPB Capital (2/22/2021)
- Aegis Capital Corp Complaints (2/21/2021)
- SEC Seeks Appointment of Independent Monitor for GPB Capital Holdings (2/16/2021)
- NorthStar Healthcare Income REIT Investment Losses (2/16/2021)
- Ameriprise Financial Complaints & Misconduct (2/14/2021)
- SEC Says GPB Capital Holdings Ponzi Scheme Defrauded 17,000 Investors (2/8/2021)
- Western International Securities Complaints: Information for Investors (1/21/2021)
- FINRA Hits LPL Financial with $6.5 Million Fine Over Supervisory and Compliance Failures (1/11/2021)
- Franklin Square BDC Investments: Have You Suffered Losses? (12/17/2020)
- GeoStellar, Inc. Files for Bankruptcy – Were You Sold Investments? (12/16/2020)
- Hartman Short Term Income Properties XX REIT: Can I Recover Losses? (12/16/2020)
- Stira Alcentra Global Credit Fund: Can I Recover Losses? (12/16/2020)
- FS Investment Corporation II (FSIC II): Can I Recover Investment Losses? (12/9/2020)
- RealSource Equity Services LLC: Can I Recover Investment Losses (12/9/2020)
- Investment Losses in Strategic Student & Senior Housing Trust, Inc.? You May Be Able to Recover (12/7/2020)
- NorthStar Healthcare Income REIT Chairman Justin Chang Resigns (12/7/2020)
- Watermark Lodging Trust REIT: Can I Recover Investment Losses? (12/7/2020)
- Were You Advised to Invest in RealSource Equity Services LLC? You May Have Options for Loss Recovery (11/24/2020)
- Investment Losses in Strategic Student & Senior Housing Trust, Inc.? You May Be Able to Recover (11/24/2020)
- Recover “YES” Investment Losses with Brokers of The Washingtonian Group (11/16/2020)
- Nassau River Partners, LLC Investor Losses on Conservation Easements (11/9/2020)
- Sailfish Cove Group, LLC Investor Losses on Conservation Easements (11/9/2020)
- Quorum Holdings Partners, LLC Investor Losses on Conservation Easements (11/9/2020)
- Orange Wood Partners, LLC Investor Losses on Conservation Easements (11/9/2020)
- Orange Stone Group, LLC Investor Losses on Conservation Easements (11/9/2020)
- Wells Fargo Pays $79M to Settle Class Action Over Forfeiture of Deferred Compensation Brought by Ex-Financial Advisors (10/12/2020)
- Oasis Petroleum Investment Losses? Learn Your Options for Recovery (10/8/2020)
- Wunderlich Securities Complaints (9/18/2020)
- Rollover Rule Proposed by DOL Could Put Retirement Savers at Risk (9/9/2020)
- Sonn Law Group Investigating Fund Evaluation Group LLC; Did you lose money in Malachite Capital? (9/7/2020)
- Did YieldStreet Admit to Conducting Poor Due Diligence? (9/2/2020)
- ARC NYC REIT Investment Losses (8/26/2020)
- Heartland Production and Recovery LLC Ordered to Cease and Desist by MI Regulator (8/19/2020)
- Kovack Securities Complaints: Information for Investors (8/16/2020)
- Yieldstreet Being Investigated by SEC and FBI (8/15/2020)
- 3D Money LLC Facing Complaint by Washington State Alleging Sale of Unregistered Securities (8/13/2020)
- Par Funding – Investor Loss Recovery Center (7/31/2020)
- GPB Capital Holdings Reports Sharp Decline in Assets Under Management (7/28/2020)
- First Western Capital Management, Denver-based Investment Advisory Firm, Fined $200K by SEC (7/21/2020)
- GPB Capital and Affiliated Companies Received Between $3M and $7M in PPP Loans (7/14/2020)
- GPB Capital Named in Class Action Filed in Texas Federal Court (7/3/2020)
- Chesapeake Energy Investment Losses (7/3/2020)
- Malachite Capital Partners LP Investment Losses (6/25/2020)
- Kestra Investment Services Review: Information for Investors (6/20/2020)
- Metlife Securities: Information for Investors (6/16/2020)
- UBS ETRACS ETN Value Drops to Near Zero (6/11/2020)
- NexPoint Capital BDC Investment Losses (6/10/2020)
- Massachusetts Authorities Charge GPB Capital in Civil Complaint Alleging Fraud (5/29/2020)
- Benefit Street Partners REIT Investment Losses (5/27/2020)
- Ultra Petroleum Corp. (UPLC) Investments (5/25/2020)
- Have You Suffered Losses in UBS Yield Enhancement Strategy (YES)? (5/19/2020)
- The Parking REIT Investment Losses (5/19/2020)
- Amended Federal Complaint Against GPB Capital Alleges Exorbitant Fees and Conflicts of Interest Made Sales Illegal (5/18/2020)
- TCA Fund Management Group, Florida-Based Investment Company, Charged by SEC Over Alleged Inflated Portfolio Value (5/15/2020)
- Are You a Victim of Price Gouging? (5/7/2020)
- Losses on Investments Sold by David Lerner Associates (5/6/2020)
- United States Oil Fund (USO) Investment Losses (5/2/2020)
- High Risks Associated with Collateralized Loan Obligations Heightened by COVID-19 Pandemic (5/1/2020)
- Were You Recommended Frontier Communications bonds by FMSbonds? (4/24/2020)
- Plymouth Industrial REIT (PLYM) Investment Losses (4/21/2020)
- Colony Credit Real Estate, Inc., Investment Losses (4/14/2020)
- Investment Losses on Autocallable Securities, Callable Yield, and Other Structured Notes (4/13/2020)
- UBS ETRACS ETNs Investment Losses (4/7/2020)
- Schroder ISF Global Energy Investment Losses (4/6/2020)
- BlackRock GF World Energy Fund Investment Losses (4/6/2020)
- Goldman Sachs North America Energy & Energy Infrastructure Portfolio Investment Losses (4/1/2020)
- MFS Meridian Funds – Global Energy Fund Investment Losses (4/1/2020)
- MFM Junior Oils Trust Fund Investment Losses (4/1/2020)
- Texas Securities Commissioner Orders Merchant Growth & Income Funding, LLC to Cease and Desist (4/1/2020)
- Canoe Energy Class Investment Losses (3/31/2020)
- Profunds Oil Equipment Distribution & Services UltraSector Profund Investment Losses (3/31/2020)
- Ninepoint Energy Fund Investment Losses (3/31/2020)
- Rydex Energy Fund Investment Losses (3/31/2020)
- Fidelity Select Energy Service Portfolio Investment Losses (3/31/2020)
- Investor Losses from Oil, Gas & Energy Stocks, MLPs and Funds Possibly Caused by Unsuitable Recommendations (3/31/2020)
- NCM Energy Plus Class Investment Losses (3/27/2020)
- SEC Obtains Asset Freeze Against Meta 1 Coin Trust Based on Alleged Securities Fraud (3/26/2020)
- Colorado Division of Securities Orders CapSource, Inc. to Cease and Desist (3/25/2020)
- Ivy Energy Fund Investment Losses (3/24/2020)
- Triad Advisors Subject to Multiple Disputes Regarding Sales of GPB Funds (3/18/2020)
- SEC Obtains Asset Freeze Against Kinetic Investment Group, LLC, Based on Alleged Sales of Fraudulent, Unregistered Securities (3/16/2020)
- Recovering Losses from the Recent Stock Market Crash (3/11/2020)
- SEC Obtains Injunction Against Kenneth Courtright, III, and His Company, Today’s Growth Consultant Inc. (3/10/2020)
- SEC Orders Wells Fargo to Pay $35M Over Bad ETF Advice (3/3/2020)
- EquiAlt LLC Investors File Class Action Lawsuit Over Alleged $170M Ponzi Scheme (2/28/2020)
- Former Credit Suisse Representatives Awarded $2.1M in Deferred Compensation Dispute (2/24/2020)
- GPB Capital Holdings Sued by Volkswagen Based on Allegations that GPB Violated an Agreement Between the Parties (2/24/2020)
- EquiAlt, LLC – Tampa Real Estate Firm – Charged by SEC with Defrauding Investors in Alleged $170M Ponzi Scheme (2/24/2020)
- Investigation: Burnham Securities Inc. (2/14/2020)
- Worried About Your Investments in Carter Validus Mission Critical REIT II? (2/13/2020)
- Worried About Your Investments in Griffin Capital Essential Asset REIT? (2/13/2020)
- GPB Capital Announces Some Investors Will Not Receive Important Tax Documents by Tax Day (2/12/2020)
- Kenneth Courtright, Owner of Today’s Growth Consultant, Inc., Indicted Over Ponzi Scheme Allegations (2/10/2020)
- SEC Launches “Sweep” Examination to Inquire into Sales Practices Applicable to Retirement Plans for Teachers, Broker-Dealers, and Third-Party Administrators (2/5/2020)
- Federal Lawsuit Filed Against GPB Capital Holdings, Ascendant Capital, and the Brokerage Firms (2/5/2020)
- Axa Advisors, LLC Named in FINRA Arbitration for Unsuitable REIT Losses (1/30/2020)
- NorthStar Healthcare Income REIT Investors Suffer Devastating Losses After Income Distributions are Suspended (1/28/2020)
- Merrill Lynch Ordered to Pay Former MLB Outfielder $2 Million by FINRA (1/27/2020)
- Royal Alliance Associates Agreed to Pay $400,000 for Brokers’ Misconduct (1/22/2020)
- SEC Likely to Charge GPB Capital Holdings in Near Future (1/22/2020)
- Today’s Growth Consultant Inc., and Owner Kenneth Courtright, III, Charged with Operating Ponzi Scheme (1/17/2020)
- National Planning Corporation Ordered by FINRA to Pay $2.6 Million in Damages (1/16/2020)
- David Rosenberg, Former CEO of Prime Automotive, Demands Job Back as Prime Appoints New Chief Executive (1/14/2020)
- Investors Facing Advice to “Do Nothing” While GPB Capital Holdings Continues to Struggle (12/30/2019)
- T2 Biosystems (TTOO) Share Price Declines Significantly (12/19/2019)
- Key Investment Services Fined $425,000 by FINRA (12/13/2019)
- Former Client of Merrill Lynch Wins FINRA Award Over $300,000 (12/12/2019)
- International Assets Advisory Fined $30,000 by FINRA (12/11/2019)
- Ace Diversified Capital Censured & Fined Following Allegations of Failure to Supervise Recommendations of Non-Traditional ETFs and ETNs (12/10/2019)
- International Investment Group, New York-Based Investment Adviser, Has Registration Revoked (12/5/2019)
- Recent GPB Statements to Investors Verifies Ponzi Scheme Concerns Alleged in Lawsuit (12/2/2019)
- Raymond James & Associates, Inc., Sued for Biscayne Capital-Related Losses (12/2/2019)
- Compliance Executive Who Raised Concerns About GPB Capital Holdings Alleges She has been the Target of Scare Tactics (11/26/2019)
- New Lawsuit Alleging GPB Capital Holdings is Operating a Ponzi Scheme (11/22/2019)
- FINRA Staring at Fresh Wave of Unpaid Arbitration Awards (11/22/2019)
- Sanchez Midstream Partners Suspended Cash Distributions for Investors (11/21/2019)
- Triad Advisors Subject to Multiple Disputes Regarding Sales of GPB Capital Private Placements (11/20/2019)
- Bolton Global Asset Management Sued by SEC for Failure to Disclose Conflicts (11/18/2019)
- FINRA Claim Filed in Connection to GPB Capital Holdings (11/18/2019)
- Did You Lose Money in GPB Capital Through Your Kalos Capital Broker? (10/26/2019)
- Harvest Volatility Management Collateral is Facing Allegations Involving Fraudulent Sales of Collateral Yield Enhancement Strategy Investments (9/23/2019)
- NOTICE TO WOODBRIDGE INVESTORS: Liquidating Trustee Report for September, 2019 Attached (9/20/2019)
- Mediatrix Capital Fund: Fraudulent Investment Scheme Investigation (9/19/2019)
- Whiting Petroleum Corporation Investment Losses (9/18/2019)
- GPB Capital Holdings Further Delays Release of Audited Financial Statements (9/16/2019)
- Investors Can Still Recover Investment Losses with RAIT Financial Trust Following Firm’s Bankruptcy Filing (9/11/2019)
- Information for Investors: Harvest Volatility Management Collateral Yield Enhancement Strategy (CYES) (9/11/2019)
- Did You Lose Money in Steepeners? Here’s What You Need to Know (9/9/2019)
- High-Risk Collateral Yield Enhancement Strategies Have Cost Investors Millions (8/30/2019)
- Iron Condor Losses: Frequently Asked Questions (FAQs) (8/30/2019)
- Sanchez Energy Corp Files for Bankruptcy (8/23/2019)
- Don’t Rely on the Class Action Lawsuit Against GPB Capital Holdings for Recovery of Investment Losses (8/21/2019)
- Lightstone Real Estate Income Trust Cuts Monthly Distributions by 50% (8/16/2019)
- Collateral Yield Enhancement Strategy Investment Losses (8/1/2019)
- Fidelity’s National Financial Services Gives GPB Investors 90 Days to Move Private Placements to Another Firm (7/31/2019)
- GPB Capital Holdings Sued By Former Business Partner for “Serious Financial Misconduct” (7/29/2019)
- Good News for 1st Global Capital Investors- The Debtor Promises to make an Initial distribution of $75 Million to Investors by the End of 2019 (7/24/2019)
- GPB Capital Fund Armada Waste Management LP Loses Nearly 70% of Its Value (7/12/2019)
- Investors Have a Limited Amount of Time Remaining to Claim Commissions Pocketed By Swiss Banks (7/2/2019)
- H2O Asset Management Faces Serious Concerns Over Liquidity (7/2/2019)
- GPB Capital Holdings Reports Major Losses in its Largest Funds (7/1/2019)
- Phillips Edison Grocery Center REIT III Losses: Information for Investors (6/20/2019)
- FINRA Bars Former LPL Financial Broker Philip Nalesnik for Outside Business Activity (5/22/2019)
- Former First Financial Equity Broker Stephen Whittaker Terminated for Alleged Outside Business Activities (5/22/2019)
- Broker Richard Pittman of Cetera Advisors has Customer Disputes Totaling $1M (5/22/2019)
- Ex-Wells Fargo Investment Advisor Wilfred Rodriguez Jr. Barred by FINRA for Moving Funds (5/22/2019)
- Former Voya Financial Advisor Robert Witt Barred by FINRA for Unauthorized Trading (5/21/2019)
- Former HD Investment Services Broker Erin Verespy Barred for Misappropriated Client Funds (5/17/2019)
- FINRA Broker Izhar Shefer Facing Numerous Allegations of Unsuitable Investment Recommendations (5/17/2019)
- Former PFS Investments Broker Derrick Trussell Barred After Declining to Cooperate with Investigators (5/17/2019)
- Information for Investors Who Lost Money in AAC Holdings, Inc. (AAC) (5/17/2019)
- Information for Investors Who Lost Money in Level Brands, Inc. (LEVB) (5/17/2019)
- Information for Investors Who Lost Money in Village Farms International, Inc. (VFF) (5/17/2019)
- Financial Advisor Barbara Kenerson Under Investigation After Unsuitable Investments and Churning Complaint (5/17/2019)
- Broker Michael Fassi of Centaurus Financial Facing Unsuitable Investment Complaints (5/17/2019)
- Former J. Sims & Co Broker Alan Appelbaum Allegedly Recommended Unsuitable Structured Products (5/17/2019)
- Dana Hawkins of Centaurus Financial Facing Pending FINRA Complaints for Unsuitable Investments (5/17/2019)
- Aegis Advisor Eduard Leytman Faces Customer Complaint Related to ETF Losses (5/17/2019)
- Did You Lose Money Investing With Ed Matthes, Formerly of Mutual of Omaha out of Wisconsin? (5/16/2019)
- FINRA Bars Dominic Tropiano for Unsuitable ETF Transactions (5/14/2019)