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First Western Capital Management (FWCM) to Pay $200k Fine For Recommending Unsuitable Investment

First Western to Pay $200k Fine For Recommending Unsuitable Investment

First Western Capital Management (FWCM) has been fined $200k by the US Securities and Exchange Commission for recommending investments to clients for seven years. The company is said to have invested over $666 million of clients’ money into securities they did not qualify for or …

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SagePoint Financial Fined Over $1 Million – Investor Notice

SagePoint Financial Fined Over $1 Million - Investor Notice

FINRA has ordered SagePoint Financial to pay over one million in restitution to its customers in connection with early rollovers of unit investment trusts. Sagepoint Financial is one of several large broker-dealer firms within the Advisor Group network (along with FSC Securities, Royal Alliance Associates, …

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Edward Matthes Barred For Ponzi Scheme

Edward Matthes

The U.S Securities and Exchange Commission (SEC) has filed charges against Edward Matthes, registered representative of Mutual of Omaha Investor Services, accusing him of running a Ponzi like investment scheme that targeted investors in Wisconsin. Matthes is alleged by the SEC to have run an …

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National Securities Corporation Under Investigated By Investment Fraud Lawyers

National Securities Corporation

Haselkorn & Thibaut, a national law firm for investors, is currently investigating losses from National Securities Corporation to securities fraud or investment fraud propagated by financial advisors’ misconduct. The investment fraud law firm is well-positioned to represent investors who might have lost anything on investing …

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FINRA Cracks Down Non-Traditional ETFs

Non-traded Exchange Traded Funds

Financial oversight authorities in the U.S are cracking the whip on Non-traditional Exchange Traded Funds (ETFs) amidst a wave of outcry from investors who have lost a substantial amount of money.  In addition, several investment fraud lawyers have also opened probes and already started representing …

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