We cover latest news on investor lawsuits, investigations and investment fraud. Unfortunately, investment fraud is very common, especially with seniors. We report on several different kinds of security fraud that includes Ponzi-Schemes, Bad Accounting and Improper Sales Practices.
NYC REIT, formerly known as American Realty Capital New York City (NYC), continues a downward trend with a share price of $10. For investors that originally bought NYC REIT this is over a 50% loss. …
NYC REIT Price Down 50%! Investor Lawsuits Filed Read More »
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Scott Barcomb, a financial advisor based in Sarasota, Florida broker is being investigated by Haselkorn & Thibaut, a national investor a law. Mr. Barcomb currently registered with Berthel, Fisher and Company Financial Services. According to …
A Portage Michigan stockbroker Christopher Thomas Tolmacs (Chris Tolmacs) registered with Triad Advisors Inc. was subject to customer-backed investment-related arbitration where the customer was awarded damages of $95K. The allegations included i) the client was …
Triad Advisors Financial Advisor Chris Tolmacs BARRED Read More »
According to the Financial Industry Regulatory Authority (FINRA), Troy Bailey, a former broker of Advisor Group’s Sagepoint Financial was fined $5000 by FINRA for using $210,000 of clients’ funds. Apparently, the former broker used the …
Ex Sage Point Rep Troy Bailey Invested Clients’ Funds in Sham Pension Scheme Read More »
James Andrew Geake (also known as Jim Geake) of Schaumburg, Illinois, and Skokie, Illinois currently working for Madison Avenue Securities LLC, as a stockbroker. Mr. Andrew is referenced to as a part of a customer-initiated …
Investor Sues Madison Avenue For Inappropriate REIT Recommendations By Jim Geake Read More »
News networks are reporting that J.P. Morgan Securties LLC, a broker-dealer subsidiary of JP Morgan Chase & Co., is being charged by the Securities and Exchange Commission (SEC) for engaging in manipulative trading of U.S …
GPB Capital Compliance Officer and Former Securities and Exchange Commission (SEC) examiner Michael Cohn has pled guilty to misdemeanor theft of government property after joining GBP Capital Holdings in late 2018. The allegations against Cohn …
GPB Capital Compliance Officer & Former SEC Examiner Pleads Guilty to Theft Read More »
High-risk investment strategies aren’t a foreign concept but not necessarily one we would all jump at the opportunity to get involved in. A Texas-based investor is now seeking $100,000 compensation, claiming that the UBS recommended …
Haselkorn & Thibaut, a national investor law firm, has just announced that it has started investigating the Vida Longevity Fund, LP, for violation of several financial regulations, including potential misconduct, breach of security law, and …
Recently, an unauthorized trading FINRA arbitration claim was made by an investor, who is now seeking damages in six figures from David Hirons at Wedbush securities. FINRA is the primary regulator for brokers and broker-dealer …
David Hirons of Wedbush Securities Accused of Making Unauthorized Trades Read More »
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