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FINRA Action: Aegis Capital Corp. (2026)
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FINRA Action: Aegis Capital Corp. (2026)

Investor Alerts

FINRA Action: Aegis Capital Corp. (2026)

By Jeffrey Sonn|2026-04-20T12:09:21-04:00April 20th, 2026|Investor Alerts|

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.pdfThe FINRA action outlines a pattern of regulatory and supervisory failures at the firm, including: 90 instances of untimely, incomplete, or missing Regulation M notifications between 2021 and 2025 Failure to maintain a reasonably designed supervisory system to [...]

Investor Alert: Former Broker Olof Olsson Indicted in $3.8 Million Fraud Scheme
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Investor Alert: Former Broker Olof Olsson Indicted in $3.8 Million Fraud Scheme

Investor Alerts

Investor Alert: Former Broker Olof Olsson Indicted in $3.8 Million Fraud Scheme

By Jeffrey Sonn|2026-04-20T11:56:35-04:00April 20th, 2026|Investor Alerts|

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 the Swedish Church of New York (New York Attorney General Press Release).A newly unsealed criminal indictment filed by the New York Attorney General has brought renewed attention to the risks [...]

SEC Charges Riadh Fakhoury in Florida Venture Fund Scheme for Misleading “Low-Risk” Investment Claims

By Jeffrey Sonn|2026-04-20T12:10:59-04:00April 19th, 2026|Investor Alerts|

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 as stable, low-risk opportunities. According to the SEC, Florida-based investment adviser Riadh Fakhoury and his affiliated firm allegedly misled investors in connection with multiple venture capital funds. The SEC found [...]

Investor Alert: Recovering GWG Holdings “L Bond” Losses

By Jeffrey Sonn|2026-04-17T08:57:33-04:00April 17th, 2026|Investor Alerts|

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 2022, the fallout continues in 2026 as investors navigate complex bankruptcy distributions and pursue independent legal claims against the firms that sold these products (https://restructuring.ra.kroll.com/gwg/). Understanding the Product: Why L [...]

Four Springs Capital & DST Investments: Investor Losses, Liquidity Risks, and Recovery Options

By Jeffrey Sonn|2026-04-17T08:27:02-04:00April 17th, 2026|Investor Alerts|

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 comparable real estate investment programs have renewed concerns regarding liquidity, valuation transparency, and the appropriateness of these products for certain investors. For many investors, particularly retirees, strategies initially presented as [...]

Investor Alert: Vincent Camarda and James McArthur Charged in $138M Private Fund Fraud Scheme

By Jeffrey Sonn|2026-04-16T13:24:54-04:00April 16th, 2026|Investor Alerts|

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, LLC and its principals, Vincent J. Camarda and James E. McArthur, in connection with an alleged $138 million private fund fraud scheme affecting more than 400 investors. According to the [...]

Investor Alert: Attorney David Kagel Pleads Guilty in $9.5 Million Crypto Fraud Scheme
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Investor Alert: Attorney David Kagel Pleads Guilty in $9.5 Million Crypto Fraud Scheme

Investor Alerts

Investor Alert: Attorney David Kagel Pleads Guilty in $9.5 Million Crypto Fraud Scheme

By Jeffrey Sonn|2026-05-20T10:49:05-04:00April 15th, 2026|Investor Alerts|

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 of over $9.5 million. The U.S. Department of Justice reports that Kagel admitted to promoting high-yield cryptocurrency investments, falsely claiming funds would be traded using advanced strategies such as automated [...]

Beyond Market Losses: How Investors Recover When Financial Advisors Get It Wrong
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Beyond Market Losses: How Investors Recover When Financial Advisors Get It Wrong

Investor Resources

Beyond Market Losses: How Investors Recover When Financial Advisors Get It Wrong

By Jeffrey Sonn|2026-05-20T09:27:54-04:00April 15th, 2026|Investor Resources|

Not every investment loss can be recovered. Markets go up and down, and some losses are just part of investing. But if your losses happened because of misconduct like unsuitable advice, misrepresentations, leaving out important facts, excessive trading, or lack of supervision, you may have a real chance to get your money back. If you [...]

Kyle Asman Investor Alert: SEC Charges Florida Advisor With Alleged $500,000 Fraud Scheme

By Jeffrey Sonn|2026-04-14T11:27:33-04:00April 14th, 2026|Investor Alerts|

SEC Action Highlights Risks of Undisclosed Fees and Advisor Misconduct The U.S. Securities and Exchange Commission has filed charges against Florida-based investment advisor Kyle Asman, alleging a scheme that resulted in more than $500,000 in improper gains at the expense of investors. According to the SEC’s complaint, Asman, through his involvement with Backswing Ventures, allegedly [...]