What Happened Recent developments involving NexPoint Capital, Inc., a non-traded Business Development Company (BDC), are drawing renewed scrutiny from investors and industry observers. The company[...]
Investor Alerts
What Happened KKR Real Estate Select Trust Inc. (KREST) has once again limited investor redemptions after withdrawal requests exceeded the fund’s quarterly liquidity cap—an increasingly[...]
Federal authorities have secured a significant enforcement outcome in a high-profile investment fraud case involving social media–driven solicitations. According to the U.S. Attorney’s Office for[...]
Below is the official FINRA Letter of Acceptance, Waiver, and Consent (AWC), which can be reviewed in full:www.finra.org/sites/default/files/fda_documents/2021073044801%20Aegis%20Capital%20Corp.%20CRD%2015007%20AWC%20ks.pdf The FINRA action outlines a pattern of[...]
Olof Olsson, a former registered broker previously affiliated with Aegis Capital Corp., has been indicted on charges alleging he misappropriated more than $3.8 million from[...]
A recent enforcement action by the U.S. Securities and Exchange Commission highlights ongoing risks in private market investments, particularly when advisers promote complex venture strategies[...]
The collapse of GWG Holdings remains one of the most significant alternative investment failures of the decade. While the initial Chapter 11 filing occurred in[...]
Delaware Statutory Trusts (DSTs) have traditionally been promoted as stable, tax-efficient vehicles for investors completing 1031 exchanges. However, recent developments involving Four Springs Capital and[...]
SEC Action Targets A.G. Morgan Financial Advisors and Alleged Misrepresentation of “Conservative” Investments The U.S. Securities and Exchange Commission has charged A.G. Morgan Financial Advisors,[...]
Federal prosecutors secured a guilty plea from David Kagel, a disbarred California attorney, for his role in a cryptocurrency investment fraud scheme that defrauded investors[...]