Ex-Merrill Lynch advisors Charles Kenahan and Dermod Cavanaugh are presently being scrutinized for purportedly engaging in behavior that resulted in multimillion-dollar losses. The New Hampshire Bureau of Securities Regulation has already launched an investigation into […]
Investing in the market can be tricky for many, especially when looking to enhance returns without significantly increasing risk. High-net-worth investors often seek strategies that promise additional yield on their investments while aiming to protect
UBS YES Investigation and Loss Recovery Read More »
Kerri Jamison, a Financial Advisor at Newbridge Securities Corp, is currently dealing with numerous complaints from clients who allege that she provided investment advice that was not appropriate for them. Jamison’s career in the securities
When folks wonder where to park their cash for growth, **ETFs** often steal the spotlight, thanks to their big-time push from the investment world. Jumping into the pool of Exchange-traded funds, or ETFs, means you
5 Reasons to Choose ETFs vs Mutual Funds Read More »
Last Tuesday, the Financial Industry Regulatory Authority (FINRA) confirmed the expulsion of Sandlapper Securities along with its CEO, Trevor Gordon, and Jack Bixler, the Principal and President. In November 2018, it was determined by FINRA
Sandlapper Securities Expelled From FINRA Read More »
Following the 2008 financial crisis, the financial and stock markets experienced a robust recovery period. Yet, this era also witnessed the emergence of intricate financial instruments offering the potential for greater expansion than conventional securities.
ETNS Cause Massive Losses For Investors (ETRACS) Read More »
FINRA has mandated SagePoint Financial to compensate its customers with over a million dollars due to premature rollovers of unit investment trusts. SagePoint Financial ranks among the major broker-dealer firms under the umbrella of the
SagePoint Financial Fined Over $1 Million – Investor Notice Read More »
NexPoint Capital, a BDC with a focus on healthcare, has halted its disbursements. Products like these have recently faced increased scrutiny as they offer high commissions to financial advisors for their sale, yet frequently get
NexPoint Capital Suspends Distributions – Investor Notice Read More »
**Benefit Street Partners Realty Trust Inc.,** a real estate investment trust that doesn’t trade on the stock exchange, just stopped its program where you could reinvest dividends and buy more shares. They used to say
Benefit Street Partners REIT Stops DRIP – Lawsuit FINRA Read More »
The UBS Yield Enhancement Strategy (YES) has been contentious, leading to numerous lawsuits and substantial losses for investors. This complex options trading strategy, marketed by UBS Financial Services Inc. between 2016 and 2017, has drawn
UBS YES Lawsuits Reported Read More »
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