State securities regulators are continuing to take aggressive action against online investment schemes, and a recent enforcement action by the New Jersey Bureau of Securities highlights the growing risks associated with investment solicitations conducted through messaging platforms. According to the New Jersey Attorney General’s Office, regulators issued a cease-and-desist order against an entity operating under [...]

Financial regulators continue to scrutinize brokerage firms over failures to supervise high-risk investment activity. A recent action involving J.P. Morgan Securities LLC underscores the significant risks investors face when complex or leveraged strategies are improperly recommended. According to regulatory findings, the firm entered into an Acceptance, Waiver, and Consent (AWC) with the Financial Industry Regulatory [...]

Investors who purchased Delaware Statutory Trust (DST) or non-traded REIT investments sponsored by Four Springs Capital Trust may be facing unexpected liquidity constraints and performance-related concerns, prompting closer scrutiny of how these investments were recommended. Four Springs Capital Trust has sponsored a range of net lease real estate investments and 1031 exchange DST offerings, typically [...]

Recent developments in the high-profile fraud case involving Charlie Javice, founder of student financial aid platform Frank, are bringing renewed attention to the risks associated with misrepresented data in financial transactions and investment decisions. Javice was previously convicted in connection with the $175 million sale of Frank to JPMorgan Chase, where prosecutors alleged that user [...]