Nothing found here

Perhaps You will find something interesting from these lists...

All Blog Posts:

• Alexandria Bovee, Edward Jones, Barred by FINRA 
• Fernando Corcuchia, NYLife, Barred by FINRA   
• Pacific Oak Strategic Opportunity REIT: Liquidation
• Caz Craffy Pleads Guilty to Defrauding Gold Star Families
• William Berg Allegedly Swindled Investors out of $1.5 Million 
• Joseph “Michael” Todd Allegedly Defrauded Customers 
• Advisor Dusty Sternadel Allegedly Misappropriated Client Funds  
• Paul Trimber Barred by FINRA 
• Arete Wealth Management Complaints and Regulatory Actions  
• Citigroup Global: FINRA Claim Alleges Unsuitable Investments 
• John Engler Sr. Barred by FINRA 
• Impossible Foods Inc.: Securities Investigation 
• William King, Merrill Lynch Broker has 29 Customer Complaints  
• Innovation X Holdings QP LLC: Securities Investigation 
• Juan Carlos Sosa Barred by FINRA 
• SmartStop Self Storage REIT Liquidation
• Principal Securities Lawsuit Alleges Churning 
• Ron Bucher Barred by FINRA 
• Matthew Chimento Barred by FINRA 
• Jae Hun Kim Barred by FINRA
• Mackenzie Realty Capital: Pursues Listing on OTCQX
• CNL Healthcare Properties Liquidation
• Stifel Nicolaus & Co. Regulatory Overview
• Sealy Industrial Partners LP: Securities Investigation
• Charles Kulch, Next Financial Sanctioned by New Hampshire
• Inland Real Estate Income Trust: Decline in NAV
• Helen Caldwell Faces Fraud Charges after FINRA Bar
• Virtua Austin Residential Holdings: Securities Investigation
• FRP Student Housing B LP: Investor Alert
• Sunbelt Securities: FINRA Claim Alleges Unsuitable Investments
• Frontdesk Inc.: Securities Investigation 
• Power 5 Conference Student Housing I DST Investigation 
• Wauwatosa Multifamily DST: Securities Investigation
• CIM Real Estate Finance Trust Liquidation
• SILA Realty Trust Liquidation
• Benefit Street Partners Multifamily Trust: Securities Investigation
• Vinebrook Homes Trust, Inc.: Securities Investigation
• Broker Michael Brickman Barred by FINRA 
• Starwood Real Estate Income Trust Limits Redemptions
• Activity Letter from my Brokerage Firm: What does it mean?
• DC MSA Multifamily DST: Securities Investigation 
• Cove Dallas Multifamily 59 DST: Securities Investigation
• Ripville Rock Partners LLC: Securities Investigation 
• Ronald Hannes Charged with Defrauding investors
• Investment News: Ex-Triad Broker’s Company Loses Judgment
• Broker Gary Chang Allegedly Misappropriated Customer Funds 
• Hines Global Income Trust, Decrease in NAV
• TIAA-CREF to Pay $2.2 Million for Reg BI Failures 
• TPEG Bull Creek Investors LLC: Securities Investigation
• LRT Leesburg DST: Securities Investigation
• CAI Reno Hotel Partners Fund: Securities Investigation 
• Deceptive Trading Practices Attorneys
• Brett Hartvigson Barred from Securities Industry 
• MCG Ft Mill LLC: Investigating Claims
• GPB Capital Holdings Lawsuits
• Centaurus Financial: FINRA Complaint Alleges Unsuitability 
• Sixteen Firms to pay $81 Million for Texting
• Silver Star Properties REIT: Subsidiary Emerges from Chapter 11
• Did your Broker Fail to Follow your Instructions?
• FINRA Claim Filed against Advisory Group Equity Services
• American Healthcare REIT: Liquidation & Lawsuits
• 3883 Flamingo Center, LLC: Securities Investigation
• CSOZ Northern Boulevard, LLC: Securities Investigation
• Randolph Solar Investments LLC: Securities Investigation
• Strategic Data Center Fund: Investor Alert
• HPI Real Estate Opportunity Fund IV: Investment Losses
• Blue Owl Technology Income Corp. Securities Investigation
• Investor Alert: Texas Healthcare Portfolio DST
• Luke Michael Johnson Suspended by FINRA
• Apollo Debt Solutions: Securities Investigation
• Redbay Branch Partners LLC: Securities Investigation 
• CAI Las Vegas Hotel Partners: Securities Investigation
• FINRA Rule 4530: Reporting Requirements
• Edward Jones: Overview of Complaints, Regulatory History
• Investment News: Conflicts Alleged, Triad Broker Jim Walesa
• Morgan Stanley: Overview of Complaints, Regulatory Actions
• Voya Financial Advisors: Overview of Complaints, Regulatory Actions
• Jesus Rodriguez Charged with Defrauding Advisory Clients 
• Douglas McKelvey Settles Fraud Charges 
• Cadaret, Grant & Company Overview 
• B. Riley Wealth: Overview of Complaints, Regulatory History
• Whistleblower Protection Rule 
• Michael Archimede, PFS Securities, Barred by FINRA
• KKR Real Estate Select Trust: Investigating Claims
• Oaktree Strategic Credit Fund: Securities Investigation
• Lucas Hales, Virtua, Suspended by FINRA 
• Watermark Lodging Trust Acquired by Brookfield
• Brookfield Real Estate Income Trust: Investigating Claims 
• Wellston Robins Holdings LLC: Securities Investigation
• Landings Investors LLC: Securities Investigation
• Go Store It Wilmington Storage DST: Securities Investigation
• Robinhood Settles with Mass Regulators for $7.5 million 
• Robert Starnes, Wisconsin Advisor, Charged with Fraud 
• Cabot Lodge Securities: Overview of Complaints, Regulatory History
• David Arlein, Cabot Lodge Securities, 22 Customer Complaints 
• J.P. Morgan Settles with SEC for $18 Million 
• Clarion Partners Real Estate Income Fund: Securities Investigation 
• Norwood Capital Investments LLC: Securities Investigation
• Cummings Bluff Investments LLC: Securities Investigation
• Terra Property Trust Inc. Investment Losses
• Prospect Floating Rate and Alternative Income Fund Update
• 721 Skaneateles, DST: Investigating Claims
• Beacon Enterprise Mill DST – Securities Investigation
• JP ER DST – Securities Investigation
• Morgan Stanley Settles Block Trading Charges for $249 Million  
• NorthStar Healthcare Income Inc. Liquidation
• Nuveen Global Cities REIT: Securities Investigation 
•  Moody National REIT II | Help for Investors
• Valeo Groupe Americas 1031 DST Investigation 
• What is PIABA? Public Investors Advocate Bar Association 
• Hatteras Core Alternatives Fund LP: Investor Alert 
• JLL Income Property Trust: Investigating Claims 
• FINRA Rule 2330 Deferred Variable Annuities  
• Invesco Real Estate Income Trust Inc.: Securities Investigation 
• Harvest Trails Partners, LLC: Securities Investigation
• Chuck Roberts, Stifel Nicolaus, Structured Notes Lawsuits
• John Petrone, Farmers Financial, Barred by FINRA 
• Biggest REIT Losers in 2023 
• HS Union Station OZ Fund A LLC: Investor Alert 
• Biggest ETF Losers in 2023
• JER Investors Trust Inc. Files Chapter 11 Bankruptcy 
• Option Trading Guide
• JPMorgan Chase Lawsuit Alleges Huge Losses in MLPs 
• Investor Alert: Trilogy Riverset Multifamily DST  
• FINRA Claim Filed against Centaurus Financial 
• Independent Financial Group: Complaints & Regulatory Actions
• KBS REIT III: Concerned about Staying Operational 
• Louis Goff, Wells Fargo Advisor, Barred by FINRA 
• AZ Randall OH Investors DST: Securities Investigation 
• Strategic Student & Senior Housing Trust Liquidation
• Indian Trails Partners, LLC: Investor Alert 
• Investment News: FINRA Smacks Philly Broker with Wells Notice
• Keith Baron Charged with Misrepresentation 
• Eric Kubiak Barred by FINRA 
• Waypoint Development Fund, LLC: Securities Investigation
• Moody National DST Sponsor, LLC: Securities Investigation
• Ages Financial Services Lawsuit
• BR Sunrise Parc DST: Securities Investigation 
• Investor Alert: Magnolia Heights Partners, LLC
• American Portfolios: Customer Complaints, Regulatory Actions
•  Santa Bahia Holdings, LLC: Securities Investigation
• Multi-Strategy Growth & Income Fund: Investor Alert 
• Parker Springs Partners, LLC: Investor Alert
• Phoenix Senior Living DST: Securities Investigation
• AZ Romulus MI Investors DST: Securities Investigation
• FINRA Rule 3241 Limits Brokers as Beneficiaries
• Lightstone Value Plus REIT II – Illiquid Investment
• Ex-Sagepoint Broker Thomas Corsaro Sentenced to Prison
• Securities Investigation: Tulip Valley Partners LLC
• Barred LPL Broker Andrew Komarow Charged with Fraud 
• Brighton Capital Partners LLC: Investor Alert 
• KBS Growth & Income REIT Liquidation 
• Pennsylvania REIT (PREIT) Files Chapter 11 Again
• Shopoff Fund VII, LP: Securities Investigation
• Bluerock Industrial Growth REIT: Securities Investigation 
• Griffin Institutional Access Credit Fund: Investor Alert
• Wells Fargo Broker Joe David Gainer Jr. Barred by FINRA 
• Aegis Broker Alan Z. Appelbaum Barred after Allegations
• Sean Pong, U.S. Bancorp, Barred by FINRA  
• Sun Belt SFR Portfolio DST: Securities Investigation
• Last Mile Distribution DST: Securities Investigation
• Peakstone (Griffin Realty Trust Spinoff) Declines in Value
• BofA Securities Fined $24 Million for Spoofing
• FC Tulsa OK Investors DST: Securities Investigation 
• Wildermuth Fund Liquidation
• Zero Coupon Office MI DST: Securities Investigation 
• ArciTerra and Exec Charged with Fraud
• Edward Mercer, Cambridge Investment, Barred by FINRA  
• Mutual Fund Switching 
• Robert Lee Golding Barred by FINRA  
• CF Valencia Life Sciences DST: Securities Investigation 
• Aegis Advisor Keith Curtis Barred by FINRA  
• Broker Robert Silvestri Barred by FINRA 
• Advisor Christopher Turean Pleads Guilty to Embezzlement 
• Hector Hernandez Barred by FINRA 
• Understanding Your Brokerage Account Statement
• Laidlaw & Co Sanctioned for Churning Violations 
• Christopher Kennedy Allegedly Churned Customers Accounts
• Funds of Hedge Funds: Worth the Risk?
• QT Imaging Inc.: Investor Alert 
• John Fagan, Raymond James, Barred by FINRA 
• How to File a Complaint against your Broker
• Stifel, Nicolaus & Co. Structured Notes Lawsuit
• iCap Equity: Bankruptcy and Multiple Lawsuits
• mCloud Technologies Corp.: Investor Alert 
• FINRA Rule 2020: Manipulative, Deceptive, Fraudulent Devices
• TriLinc Global Impact Fund: NAV Declines
• Fastest Growing Independent Broker-Dealers
• Robert Marquez, Investment Network, Barred by FINRA 
• Robert W. Baird & Co. to pay Investors for Overcharges
• The White Law Group Claim against Center Street Securities
• Clearday Inc.: Securities Investigation 
• Marking the Close: Manipulative Trading
• Jason Jodway Sanctioned for Selling Away Allegations 
• James Walesa, Triad & Arkadios Lawsuits 
• Andrew Schell has 19 Customer Complaints 
• FINRA Rule 3280: Private Securities Transactions
• Griffin Capital South Beach – Vegas DST: Securities Investigation
• CS1031 One Riverside Apartments DST: Securities Investigation 
• PREP Net Lease Income Fund III: Securities Investigation 
• Pruco Securities Overview 
• Carter Exchange 1031 DST Investments Investigation
• Rodney Ferruso, Royal Alliance, Barred by FINRA 
• Robert Luley Jr. Allegedly Sold Unsuitable Investments
• Ronald Burton Smith, PTS Brokerage, Barred by FINRA 
• Trident Healthcare Properties I LP, Securities Investigation
• Scott Wolfrum, David A. Noyes & Co., SEC Charges
• Common FINRA Violations
• Julie Darrah Allegedly Defrauded Elderly Advisory Clients
• Blackstone Real Estate Income Trust (BREIT) Tender Offer
• Cove Capital DSTs, 1031 Exchange DST Investments
• LSC Ponte Vedra DST – Securities Investigation
• New Jersey Advisor John Boston Charged with Fraud Scheme 
• CX Lullwater at Blairstone DST – Securities Investigation
• Explore America Income Fund LLC: Securities Investigation 
• MCG Hendersonville TIC: Securities Investigation 
• Ohio Broker gets 10 Years in Prison for Defrauding Investors 
• What is an AWC? Acceptance, Waiver, and Consent 
• Broker Embezzlement
• James Pelletiere, Pruco Securities Advisor, Barred by FINRA 
• Todd Lesk Barred after Selling Away Allegations 
• Carter Multifamily Growth & Income Fund II Halts Distributions 
• Securities Investigation: Allied Integral United, Inc.  
• Madison Avenue Securities and Ausdal Financial Partners Lawsuit 
•  Franklin BSP Lending Corp. (BDCA) Merger and Liquidation
• MCG Madison 521 Investors Pref: Securities Investigation 
• MCG Preferred Opportunity Fund: Securities Investigation 
• Cibolo Creek Partners LLC: Securities Investigation 
• FS Energy & Power Fund (FSEP) New Name
• Greenbacker Renewable Energy Suspends Redemptions
• CFP Board Imposes Sanctions September 2023 
• Deutsche Bank Subsidiary DWS to Pay $25 Million  
• LSC King City, DST: Investigating Potential Claims 
• W.P. Carey to Ditch Office Portfolio 
• REVA Raleigh Colonnade DST- Investigating Potential Claims 
• Dallas Broker Les Jackson Barred by FINRA 
• CX Reagan Crossing, DST – Investigating Potential Claims 
• CX Liberty Mill DST – Securities Investigation
• Ron Filoramo Allegedly Defrauded Customers
• Rights for Investors
• InCommercial Net Lease DST 2: Securities Investigation 
• Procaccianti Hotel REIT Investigation
• FINRA Discovery Guide Documents
• SEC Fines Nine RIA Firms $850K for Violating Marketing Rules 
• How Much Trading is Too Much? Excessive Trading Attorneys
• UBS Financial Services: FINRA Claim
• Aequitas Execs Sentenced to Prison for $300 M Fraud
• Somerset Securities Inc.: FINRA Claim
• Cottonwood Communities Inc. Securities Investigation
• Ameriprise Financial Regulatory History Overview 
• SW Financial Ordered to Pay $3.2 M for Churning Claim
• Atria Closes Deal with Kestra’s Grove Point Financial 
• Know your Rights: Investment Cold Calling
• SEC Fines Lodging Fund REIT III Exec
• Healthcare Trust Inc. – HTI – Shareholder Lawsuits
• Priority Income Fund, Inc. Changes “Liquidity Strategy” 
• MSC Income Fund Inc. – Update on the Investigation 
• Mobile Infrastructure Corp. (BEEP) IPO: Investor Alert
• Claim Filed against Concorde Investment Services
• Hilltop Securities Overview 
• Western International Securities Customer Complaints
• FINRA Rule 4111: Is your Brokerage Firm on the Naughty List? 
• Woodbury Financial Services: Regulatory Overview 
• CS1031 MOB TX V, DST: Securities Investigation
• Ex-KBS Realty Advisors Exec Pleads Guilty to $2.7 Million Fraud 
• Vincent Pucciarelli Jr. Broker Investigation 
• Brokered CDs: Risks vs. Rewards 
• NYLife Securities Regulatory History Overview 
•  UBS to pay $1.435 Billion for Fraud 
• Cove Houston Corporate 49 DST – Investigating Potential Claims 
• BR Galleria Village DST Securities Investigation 
• Understanding Options Trading – Is it right for you?
• Northwestern Mutual Investigation 
• Securities America Inc.: Regulatory Overview  
• What is a Mini-Tender Offer?
• Investor Alert: Avoiding Affinity Fraud
• Royal Alliance Associates: Regulatory Overview
• Derivatives – Complex Investments
• Broker Paul McGonigle, LPL Financial, Update
• Conflicts of Interest
• The SEC Cracks down on Private Messaging
• Lickhai Quach Barred by FINRA 
• Purshe Kaplan Brokers William Weisbrod and Lilia Nia Sanctioned
• FINRA Rule 3240 Borrowing From or Lending to Customers
• Brokers and AI
• GWG Holdings UPDATE – GWG L Bonds – Securities Investigation
• Municipal Bond Checklist
• FSC Securities Corp. Overview 
• Billy Stanage Jr., Commonwealth Advisor, Barred by Regulators 
• Online Trading Scams &  Social Media Fraudsters
• Clarice Saw Charged with Defrauding Elderly Client  
• Concorde Investment Services Fined by FINRA 
• Elements of Securities Fraud
• FINRA Lawsuit filed against Merrill Lynch involving Unsuitable Investments 
• Callable Certificates of Deposits (CDs)
• No Appeal for Financial Advisor who Scammed NHL Players 
• Securities Fraud involving Indexed Annuities
• Robert Gerstein, Merrill Lynch Broker, Suspended by Regulator
• Lynn Bryant Barred by Securities Regulator  
• Darien Bonney Barred by FINRA 
• Cypress Point Funding LLC – Securities Investigation 
• Limited Partnership Investments
• Broker Malpractice
• What if I get a Margin Call?
• HJSI Athena Portfolio Finance – Securities Investigation 
• Tuscan Isle Holdings 1 LLC – Private Placement Investigation  
• Investor Alert: Unit Investment Trusts (UITs)
•  Eugene Kim Allegedly Defrauded Investors  
• David Geake Barred by Securities Regulator  
•  FINRA Suspends and Fines Broker John Hoidas after 10 Customer Complaints
• Tuscan Isle ChampionsGate Holdings: Investor Alert 
• Wells Fargo Clearing Services Regulatory Overview
• Surage Roshan Perera Allegedly Stole $4 Million from Investor 
• Wausau Broker Tony Liddle & Prosper Wealth Update 
• Hightower Securities LLC Overview  
• CF Mount Comfort, DST: Securities Investigation
• Jonathan Walter Way, Wedbush Broker, Barred by FINRA  
• Randall Skrabonja Allegedly Fired for Selling Away  
• Chicago Securities Fraud Attorneys | Investment Fraud Lawyers
• JP Morgan Securities LLC Overview   
• The Dominion – Conroe, TX, DST Investigation
• CX Retreat at the Park, DST – Securities Investigation
• CX Alexandria DST – Securities Investigation
• Joseph Gunnar & Company Overview  
• Money Matters: How to Fix and Avoid Fraud Podcast
• Pump and Dump Schemes 
• Osaic Wealth: Regulatory Overview
• PIMCO to Pay $9 Million for Fund Violations  
• JLLX SJC Medical Office DST – Securities Investigation
• Comerica Inc. Contingent Interest Notes, sponsored by JP Morgan Chase
• Advance Auto Parts – Auto Callable Yield Notes
• Broker Bradley Holts Allegedly Stole from Elderly Customers  
• Investor Alert: “Dirty Dzs Munis Puts” Trading Strategy  
• Did you Lose Money Investing in Epoch Huntsville DST?
• Investor Alert: Dish Network Auto Callable Contingent Interest Notes 
• Sims Cathcart Funding LLC: Securities Investigation 
• Riverchase Funding LLC – Securities Investigation 
• 8 Red Flags of Investment Fraud 
• Poet’s Walk Funding I LLC – Securities Investigation 
• Gryphon Finance I – Private Placement Investigation
• Madison Funding 1 LLC – Private Placement Investigation 
• Morgan Stanley ARK Innovation ETF Auto Callable Notes 
• Innovation X Holdings LLC Securities Investigation 
• Cetera Complaints and Regulatory Actions Overview
• Non-traded REITs “Liquidity Issue”
• VanEck Vectors® Gold Miners ETF Callable Notes 
• Jermaine Benjamin Barred by Securities Regulator 
• Jeffrey Cohen, Moloney Securities, Barred from FINRA 
• Park Avenue Securities: Regulatory Actions Overview 
• PetroRock Mineral Holdings: Securities Investigation 
• CS1031 SE MOB Portfolio, DST: Securities Investigation
• NexPoint Flamingo, DST: Securities Investigation
• Dennis Haywood II Allegedly made Unsuitable Investments  
• DMK Advisor Group, Inc. Fined by Securities Regulators 
• Securities Fraud Blog, The White Law Group and D. Daxton White
• Axos Invest LLC Fined by Securities Regulators  
• American Wealth Management Inc. Censured and Fined
• Cottonwood Office Park TIC – Securities Investigation
• Beware of Dual Registrants Moving Securities to Drive up Fees 
• Epoch Fort Collins DST: Securities Investigation 
• CFP Board Sanctions 2023  
• MML Investors Services LLC Overview 
• Uncapped Barrier Notes Linked to ARK Genomic Revolution ETF 
• Hawkeye Village Finance I LLC: Investor Alert 
• Securian Financial Services Overview
• Investigation: BofA ARK Innovation ETF Callable Yield Notes
• UBS Auto Callable Notes Linked to ARK Innovation ETF 
• HSBC and Scotiabank Fined for Recordkeeping Violations 
• LPL Financial Overview 
• Merrill Lynch Sanctioned for Cold Calling Violations 
• Classic Asset Management LLC Fined for Leveraged ETFs 
• Stifel Broker Joseph Crespi Allegedly Churned Accounts
• Tyler Rigsbee, Wells Fargo Broker, Sentenced for Fraud Scheme 
• Wells Fargo Clearing Services Lawsuit 
• Top Investment Fraud Scams in 2023 
• Unsuitable Investment Lawyer  
• Peakstone NYSE Listing Disappoints Shareholders
• Regal Securities Inc. Censured and Fined 
• Michael Raineri Barred from Securities Industry  
• Vornado Realty Trust (NYSE: VNO) Suspends Dividends  
• NYLife Broker Marcus Moon Charged with Misrepresentation  
• O.N. Equity Sales Company Overview  
• RBC Capital Markets Pays $300,000 plus Restitution  
• Equitable Advisors (AXA Advisors) Regulatory Overview
• TriplePoint Venture Growth BDC (TPVG) – Declining NAV  
• Grove Point Investments (H. Beck) Overview
• Geneos Wealth Management Overview 
• Prospera Financial Services Inc. Overview
• Vanderbilt Securities Overview
• SA Stone Wealth Management (Sterne Agee Financial) Overview
• Rashawn Russell, Deutsch Bank Rep Arrested for Crypto Fraud 
• B. Riley Wealth Management Lawsuit
• JW Cole Financial Inc. Regulatory Overview
• ARK Innovation ETF Auto Callable Notes – Investment Losses    
• LaSalle St. Securities Complaints and Regulatory Actions 
• Icahn Enterprises L.P. – Securities Investigation
• Brokerage Firm Best Execution Requirements
• William Winchester III Barred from the Securities Industry  
• Daniel Mackle Sr. Barred by Securities Regulators
• Steve Allen Moise Barred by Securities Regulators 
• Kestra Investment Services Overview
• Hornor, Townsend & Kent LLC Overview 
• CFD Investments Complaints and Regulatory Actions
• Berthel, Fisher and Co.: Complaints and Regulatory Actions
• Packerland Brokerage Complaints and Regulatory Actions  
• Dana Davis, Newbridge Broker, Suspended for 12 Months 
• Patrick Thayer Barred by Securities Regulator 
• Fortune Financial Complaints and Regulatory Actions  
• Brian Wurdemann Barred by Securities Regulator
• Jay Jaroensabphayanont Barred after Allegations
• Kovack Securities Inc. Overview
• Commonwealth Financial Network Regulatory History Overview   
• Moors & Cabot Inc.: Regulatory History Overview
• Broker Due Diligence
• FINRA AWC – Settlement Agreement
• FINRA RULE 3110 (SUPERVISION)
• SBNY Autocallable Notes from UBS – Securities Investigation 
• Newbridge Securities Customer Complaints & Regulatory Actions
• Concourse Financial Group (Proequities Inc.) Overview
• Signature Bank Autocallable Notes – Investment Losses 
• FINRA Rule 2090: Know your Customer 
• Investor Alert: Morgan Stanley Structured Notes Signature Bank
• SEC Alleges Darryl Matthew Cohen Stole $1 Million from Clients 
• FINRA Rule 3270 Outside Business Activities 
• Annuity Investment Fraud 
• Discretionary Accounts
• FINRA Rule 2010 
• 1050 OZ A LLC – Securities Investigation  
• Credit Suisse 7.500% Perpetual Corp. AT1 Bonds Write-off 
• SagePoint Financial Regulatory History Overview
• ShiftPixy Inc. – Securities Investigation 
• Lincoln Financial Advisors Corp. Lawsuits
• David Shane Simmons, Lincoln Financial Advisor, Barred 
• Riot Blockchain Inc. – Securities Investigation  
• Webull Financial Censured and Fined $3 Million 
• Center Street Securities Regulatory History Overview
• JPMorgan Chase Linked to SPDR® S&P® Regional Banking ETF
• Barclays Notes Linked to SPDR® S&P® Regional Banking ETF  
• Tesaro Inc. – Securities Investigation  
• Kevin Hobbs Barred after Allegations of Selling Away  
• Madison Avenue Securities Overview
• Parkland Securities Complaints and Regulatory Actions   
• Goldman Sachs Notes Linked to SPDR® S&P® Regional Banking
• Investor Alert: Arcimoto Inc.
• Myomo Inc. Securities Investigation  
• Next Financial Group: Broker Fraud, Regulatory Actions
• Park Row 23 Fund LLC Securities Investigation 
• Pacific Oak Strategic Opportunity REIT – Securities Investigation
• Sorrento Therapeutics Inc. Files Chapter 11 Bankruptcy 
• First Allied Complaints
• Lucira Health Inc. Files Chapter 11 Bankruptcy 
• Antoine Souma Barred after Allegations of Selling Away 
• Social Media Apps & Investment Fraud Schemes 
• Laidlaw & Company LTD Fined $200,000 
• Gain Elimination Plan (GEP) Fraud Scheme
• Solicited Trades versus Unsolicited Trades 
• Paul R. McGonigle Pleads Guilty to Defrauding Clients 
• Chicago Advisor David S. Wells Allegedly Defrauded Clients  
• Accredited Investor Rule 
• FINRA Sanctions Fortune Financial for VA Sales
• Algorithm Sciences Inc. – Private Placement Investigation 
• Eleven Biotherapeutics Inc. – Private Placement Investigation 
• Rosenblatt Securities Fined for Private Placement Sales 
• FINRA BrokerCheck to Flag “Restricted Firms”
• FINRA ups its Game with Reg BI Enforcement 
• Investor Alert: MEI Pharma Inc. 
• InPoint Commercial Suspends Redemptions
• Mario Rivero Jr. Reportedly Pleads Guilty to Fraud
• Mill Green Opportunity Fund VI: Securities Investigation 
• Nathaniel Clay Barred after Allegations of Excessive Trades 
• FINRA “Statute of Limitations”  
• Investor Alert: Mackenzie REIT Inc.  
• Financial Advisors still Hot for Crypto Investing 
• Robert Turner Barred after Allegations of Million-dollar Fraud
• SEC Investigating RIAs over Crypto-Asset Custody 
• Ausdal Financial Partners Complaints 
• Metropolis Technologies Inc. – Private Placement Investigation
• FINRA Sanctions 3 Firms for 529 Overcharges 
• Anthony “Tony” Liddle Allegedly Defrauded 13 Advisory Clients  
• Is a SPAC Investment Suitable for you?
• J.P. Turner and Company Lawsuits 
• Advisor Scott Fries Scheduled for Sentencing
• Paulson Investment Co. Sanctioned for Unsuitable Investments 
• Raymond James & Associates Sanctioned for Failure to Supervise 
• McDermott Investment Services Lawsuit
• SEC has Record year for Enforcement Actions in 2022
• Newlight Technologies Inc. – Private Placement Investigation 
• Skydweller Aero Inc.: Securities Investigation
• Bloom Inc.: Securities Investigation  
• Deep Labs Inc.: Securities Investigation  
• Austin Dutton, Newbridge, New FINRA Complaint
• Center Street Securities Fined for GPB Sales  
• The Worst Financial Advisors in America according to Think Advisor
• Moloney Securities Co. Sanctioned for GPB Sales 
• Four Springs Capital Trust Securities Investigation
• Conrad Coggeshall Allegedly Defrauded Elderly Investors 
• John Terzis, LPL Advisor, Barred from Securities Industry 
• Securities Investigation: CPA Franklin Industrial DST  
• Desiderio Torrez Reportedly Barred for Selling Away 
• LPL Broker John Matson Barred from Securities Industry 
• Gary Chang Barred after Allegations of Misappropriation 
• Detroit Hospitality DST – Investigating Potential Claims 
• Investor Alert: Inspired Healthcare Capital Income Fund
• Former Advisor Gautam Arora Allegedly Defrauded Investors 
• Securities Investigation: West Marshall Investors LLC 
• Necessity Retail REIT (formerly AFIN) Proxy War Continues 
•  Virtua Alpharetta Northpoint Holdings, Securities Investigation 
• Investor Alert: GK Secured Income V LLC  
• Investor Alert: Cove Atlanta Medical DST 
• Virtua Manistee Holdings Opportunity Fund – Investigation
• Investor Alert: Niagara Plus Income Fund LP  
• Cove Omaha DST Securities Investigation 
• Investor Alert: Virtua High Growth Fund II LLC
• Securities Investigation: Virtua Income Fund North America I LLC
• LPL Financial Sanctioned for Failure to Supervise 
• Ex-LPL Advisor Brad Goodbred Arrested for Theft 
• Virtua Hospitality Opportunity Zone Fund I LLC 
• Crown Capital Securities: Broker Misconduct, Complaints
• Global Net Lease (GNL) Proxy War Continues 
• Four more Firms Sanctioned for Unsuitable GPB Offerings 
• Blackstone REIT (BREIT) Limits Redemptions
• FFEC Wealth Partners Allegedly Failed to Supervise Margin use
• FINRA Hits Morgan Stanley for High-Risk Investments
• Corbin Lambert Barred by the SEC 
• Vineyard Austin DST, Securities Investigation  
• Investor Alert: Shadow Retail Partners LP  
• Hugh O. Barndollar III, Crown Capital, Allegedly “Sold Away” from Firm 
•  Hartman vREIT XXI “Going Concern” Alert 
• Ex-JP Morgan Broker Edward Turley Barred from Securities Industry
• GWG Holdings Executives Resign following Internal Review 
• MCMP Fuels Trading II LLC, Securities Investigation 
• Infinity Q Alpha Mutual Fund Settles Charges
• G & P Acquisition Corp Delisted for “Abnormally Low” Price Levels  
• FINRA Sanctions Wedbush Securities for Regulatory Failures 
• Western International Allegedly Failed to Supervise REIT Sales
• Triad Advisors LLC Overview
• New Haven Broker John Anthony Sommo Barred from Securities Industry  
• StHealth Capital Investment Corp. Liquidation for Investors 
• Lightstone Value Plus REIT III | Securities Attorneys for Investment Losses
• Medical Properties Trust Inc. (MPW) Declines more than 50% 
• Ex-MML Advisor Adam Belardino Pleads Guilty to Stealing from Client 
• Cetera to pay $7 Million for Allegedly Defrauding Advisory Clients 
• West Lafayette, Indiana Securities Fraud / Broker Fraud Attorney
• Lightstone REITs Amendments Eliminate Protections for Shareholders  
• Springfield, Illinois | Securities Fraud Lawyer | Broker Fraud Attorney 
• Fidelity Series 5+ Year Inflation-Protected Bond Index (FSTDX)
• Financial Advisor Mitchell Biernick allegedly sold Unsuitable Investments 
• Emerson Equity Sues Insurers as GWG Investor Claims Roll in 
• Stephen R Swensen Allegedly Defrauded Investors of $29 Million
• iShares JP Morgan USD Emerging Markets Bond ETF (EMB)
• IShares 20+ Year Treasury Bond ETF (TLT) Securities Investigation 
• Pacer Trendpilot US Bond ETF (PTBD): Worst Performing
• FlexShares Crdt-Scrd US Lng Corp Bd ETF (LKOR) 
• Worst Performing: IShares Fallen Angels USD Bond ETF (FALN)  
• Worst Performing: VanEck Fallen Angel High Yield Bond ETF
• Rockford, Illinois Securities Attorneys
• Antler Capital Global Opportunity Fund Ltd
• Securities Investigation: Brynes Capital LLC 
• Securities Investigation: Adit Growth Equity Co-Invest LLC 
• Securities Investigation: FC Global Realty Inc.
• Investor Alert: Innovation Lofts & Indigo Hotel LLC 
• AIU Alternative Care Oz Fund LP Securities Investigation 
• Western Asset Macro Opportunities I (LAOIX) Securities Investigation 
• ATAC Credit Rotation ETF (JOJO) Worst High Yield ETFs of 2022 
• KBS Growth & Income REIT may be Forced to Liquidate 
• Investor Alert: Wasatch-Hoisington US Treasury (WHOSX)  
• iShares International High Yield Bond ETF (HYXU)
• Investor Alert: Western Asset SMASh Series Cr Cmpltn (WAADX)  
• Investor Alert: PIMCO Extended Duration Instl (PEDIX)  
• Vanguard Extended Duration Trs Idx Instl (VEDTX) Securities Investigation 
• The White Law Group Files a Lawsuit against Arete Wealth
• Securities Investigation: IShares 25+ Year Treasury STRIPS Bd ETF (GOVZ)
• PIMCO 25+ Year Zero Coupon US Trs ETF (ZROZ) Securities Investigation 
• PIMCO Long-Term Credit Bond Instl (PTCIX)
• Champaign, Illinois | Broker Fraud Attorney
• FINRA warns Firms about Fraudulent Transfer of Accounts
• Raymond James to pay $500K for Failure to Supervise
•  Ex-Edward Jones Advisor Ronald Molo to pay $800K after Fraud Allegations 
• Naperville, Illinois | Broker Fraud Attorney | Securities Fraud Lawyer 
• Peoria Illinois Securities Attorneys
• Harvest Collateral Yield Enhancement Strategy (CYES)  
• Investigating Securities Claims involving Clearvoice Inc.   
• FINRA Fines Barclays Capital Inc. $2 Million
• FINRA Fines UBS Securities $2.5 Million for Reg SHO Violations 
• Lion Street Financial and Triad Advisors Lawsuit Filed Today
• GWG Holdings * GWG L Bonds * Investor Lawsuits for Recovery
• Bradley Goodbred allegedly stole $1.2 M from Elderly Client  
• Richard M. Crabtree Allegedly Defrauded Client 
• SEC Cracks down on 16 Wall Street Firms
• Investor Alert: Empire Village at Schnepf Farms LLC
• Red Oak Income Opportunity Fund LLC: Securities Investigation  
• Madison Wisconsin Securities Attorneys
• Securities Investigation: Lookhu Inc.
• Investor Alert: FTE Networks Inc. (FTNW) 
• Jaguar Health Inc. (JAGX): Securities Investigation 
• Blink Charging Company (BLNK): Securities Investigation 
• Investor Alert: ReShape Lifesciences Inc. (RSLS)
• Securities Investigation: Arrowhead Pharmaceuticals Inc. 
• SignPath Pharma, Inc. Securities Investigation 
• UQM Technologies, Inc. Securities Investigation 
• FINRA Sanctions IBN Financial Services for Supervisory Failures 
• SEC Charges Four Firms with Municipal Bond Disclosure Failures 
• Reverse Churning: When your Broker Collects a Fee for doing Nothing 
• Hines Sentio Senior Living Opportunity Fund LP: Securities Investigation 
• Waddell & Reed to Pay $776K Over ‘Reverse Churning’ Charges  
• Concerned about your investment in Uptown Newport Development Co. LLC? 
• Morgan Stanley to pay $35M to Settle SEC Charges
• Securities Investigation: Pacific West Home Mortgage II LLC 
• Securities Investigation: T2 Strategic Real Estate Income Fund LLC 
• Secured Income Group and Owner Charged with $100 Million Offering Fraud 
• Shawn Good Allegedly Defrauded Investors out of $7 Million 
• American Healthcare REIT files S-11, Possible Listing on NYSE  
• Securities Investigation: JAM Partners LP 
• Penn Square IV U.S. Real Estate Fund LP, Investigating Potential Claims 
• Jeffrey Basford, David Lerner Associates, Barred after Allegations
• MML Advisor Amanda Berry Allegedly Misappropriated Client Funds  
• SEC Bars Arthur Hoffman after Allegations of Fraudulent Crypto Scheme
• Ex-LPL Advisor James Couture Pleads Guilty
• FS Global Credit Opportunities Fund to List Shares under “FSCO” 
• FINRA Fines Bank of America Securities $5M for Reporting Failures 
• Ronald Coy Bailey, NY Life Advisor, Allegedly sold Private Securities  
• FINRA Fines Sagepoint Financial, Inc. For Suitability Issues 
• Crowne Maybank Holdings LP, Investigating Potential Claims 
• Canaccord Genuity Wealth Censured and Fined $200,000 for Private Placement Sales 
• LOF Lincoln LLC, Investigating Potential Claims 
• Concerned about your investment in Ashburn Creek Fault LP? 
• Securities Investigation involving MH Ventures 2019-1 LLC  
• Investor Alert: Cottonwood Richmond at Millcreek  
• Securities Investigation: AEI Net Lease Portfolio 14 DST  
• Investigating Potential Claims involving BR DeSota DST 
• Heritage – Bedford NH DST – Investigating Potential Claims 
• The Dominion – Conroe, TX DST – Investigating Potential Claims 
• Joseph Stone Allegedly Failed to Supervise Excessive Trades
• CFP Board Reportedly Sanctions Advisor Roderick L. Whited after FINRA Bar  
• CFP Board Reportedly Sanctions Advisor Mark Trewitt
• CFP Board Reportedly Sanctions Advisor Christopher Turean
• Perceptive Advisors Charged with SPAC-Related Conflicts of Interest 
• FINRA Sanctions Sanctuary Securities for Unsuitable GPB Sales    
• The White Law Group files another Lawsuit against Centaurus Financial 
• Francisco Valenzuela Allegedly Sold Unsuitable Bonds
• Mark Cline Allegedly Recommended GWG L Bonds
• SEC Action: Broadway Strategic Return Fund LP 
• Ex-Alliance Global Advisor Michael Shillin Sentenced to 7 Years Prison 
• Help for Investors: CitiFirst Buffer Securities
• CitiFirst Dual Directional CoBA Notes
• Investor Alert: CitiFirst CoBa Structured Notes
• Citigroup Notes Linked to UnitedHealth
• Citigroup Enhanced Barrier Digital Plus Securities
• Citigroup Structured notes Linked to Facebook
• CitiGroup Quanto (CoBa) Worst Performing EURO STOXX 50
• Coupon Barrier Autocall Notes (CoBa) Investigation
• Kovack Securities Sanctioned for Mutual Fund Trading 
• Broker Byron Martinsen, Centaurus, Suspended after Allegations
• James Dunn Jr. Barred after Allegations of Misconduct 
• FINRA Sanctions Capital Investment Group Inc. for Unsuitable GPB Sales    
• MLS Fined for Failure to Supervise Broker Charles Evan
• The White Law Group Files Lawsuit against Essex and Infinex
• Investor Alert: Citigroup’s Structures Notes Linked NVIDIA Corp. 
• David Lerner’s Energy 11 LP has $45M in Unpaid Distributions 
• Securities Investigation: Citigroup’s Structured Notes
• Citigroup Notes Linked to Worst Performing of Alphabet Inc., Amazon.com
• Citigroup Notes,Worst Performing of Amazon, JPMorgan
• Versus Systems Inc., Investigating Potential Claims 
• Investor Alert: Fire Cannabis Inc.  
• SEC Sues Bellatorum Resources and Owner for $31 Million Fraud  
• Northstar Financial Services (Bermuda) LTD, Update on the Investigation  
• Axiom Capital Management Inc. Censured and Fined  
• Daniel Minich Suspended for “Selling Away” Crypto Hedge Fund  
• JPMorgan Chase Auto Callable Contingent Interest Notes
• Investor Alert: Complete Business Solutions Group Inc. (d/b/a Par Funding) 
• Investor Alert: Trulieve Inc.  
• Green Organic Dutchman Holdings LTD, Investigating Potential Claims 
• Joseph Stone Broker Ross Barish Barred after Allegations
• SEC Charges Angel Oak Capital Advisors with Misleading Investors   
• Robin Taliaferro Barred after Allegations of Broker Misconduct
• SEC Bars Dustin Shafer after Allegations of Misrepresentation
• Griffin Realty Trust Inc. Decreases NAV and Limits Redemptions 
• Lester W. Burroughs (Chad Burroughs) Update on the Investigation
• Pecan Grove Capital LLC – Securities Investigation
• Reedy Branch Partners LLC, Investigating Potential Claims  
• Ernest Frerking Barred from Securities Industry 
• Investor Alert: Bruce Creek Investors LLC  
• Investor Alert: Clear Springs Resort LLC   
• Investor Alert: True Pharma Strip Inc.   
• Securities Investigation: Moody Mosaic DST  
• Investor Alert: High Street Capital Fund USA LP   
•   Variable Interest Rate Structured Products – Securities Fraud Attorneys –  
•  Lose money in Citigroup’s CoBa Notes?  
• Cove NYC Metro DST – Investigating Potential Claims 
• SEC Charges Aegis with Unsuitable Recommendations  
• Joseph Ambrosole Barred from Securities Industry 
• JPMorgan, UBS, and TradeStation face charges
• Ausdal Financial Partners Inc. Lawsuit filed involving GWG
• Securities Investigation: BR Grand at Westside DST
• Prospect Sustainable Income Fund Inc. – Investors may have Claims 
• FINRA Award: LPL, Financial Resources to Pay Investors $2.6M 
• Owl Rock Core Income Corp. BDC, Securities Investigation
• Private Advisor Group LLC settles with SEC for $5.8 Million  
• HPS Corporate Lending Fund: Securities Investigation
• StHealth Capital Investment Corp., Investigating Claims
• Citigroup Autocallable Notes Linked to Moderna
• Citigroup Notes Linked to Roku, Inc. 
• The Parking REIT/Mobile Infrastructure Corp. Lawsuits
• The White Law Group files a Lawsuit against Centaurus Financial 
• Campus Edge Equities LLC, Investigating Potential Claims 
• Lansing Land Development Fund, Investigating Potential Claims 
• Equitable Financial settles with SEC for $50 Million  
• GWG L Bonds *Lawsuits to Recover Financial Losses*
• Securities Investigation: BIC TEI Investors LLC   
• Hartman Short Term Income Properties XX Suspends Distributions
• Investor Alert: MCG Folly Storage Investors LLC  
• Securities Investigation: RHP Development LLC   
• Fox River TEI Equities LLC, Investigating Potential Claims 
• GAO calls for FINRA Oversight Changes to Protect Investors 
• McDermott Investment Advisors held Liable
• Financial Advisor Eric Hollifield reportedly faces Fraud Charges 
• UBS Settles Fraud Charges over YES Options Trading Strategy 
• William “Ed” Torriente Barred after Allegations
• David Karandos, Dinosaur Financial, Barred after Allegations
• FINRA Sanctions McDonald Partners LLC
• Fishtail Creek Investors LLC, Investigating Potential Claims 
•  Investor Alert: MCG Preferred Opportunity Fund LLC  
• Investor Alert: TEI Income & Opportunity Fund LLC  
• Citrus Center TEI Equities LLC, Investigating Potential Claims 
• Investor Alert: RK Pointe at Research Park DST  
• Chad Barancyk Suspended from Securities Industry 
• Crypto Futura Fund LLC, Investigating Potential Claims 
• Securities Investigation: RK Montecito Pointe DST  
• BH Flats Investment LLC, Investigating Potential Claims 
• Securities Investigation: MCG 29 Investors LLC   
• Investor Alert: RK One White Oak DST  
• Securities Investigation: Derita Road Storage Investors LLC  
• George Merhoff Jr., Cetera Advisors, Fraud Investigation
•  Lose money in Barclays Autocallable Contingent Coupon Notes?
• Recovery of Investment Losses in Watermark Lodging Trust 
• FINRA Sanctions United Planners for Unsuitable GPB Sales  
• New York City REIT (NYSE: NYC) Lawsuit Investigation 2022
• Investor Alert: TRC Income Fund II LLC  
• SEC Charges Western International re GWG L Bonds 
• Broker Tony Liddle Allegedly took $1.8M in Customer Loans
• Center Street Lawsuit Involves GWG L Bonds
• Update on Alleged Ponzi Scheme Involving Horizon Private Equity III  
• Megurditch “Mike” Patatian Barred for Unsuitable Investments  
• Investor Alert: Fayetteville Student Housing DST  
• Securities Investigation: Moody Village One DST  
• Annuity Sales on the Rise, may Surpass all Time High
• Morgan Stanley Lawsuit involves Alleged Ponzi Scheme 
• The White Law Group Announces another Lawsuit Involving GWG L Bonds 
• Investor Alert: AlphaCentric Income Opportunities Fund  
• Securities Investigation: Vineyard Braselton DST  
• Investor Alert: Athens Student Housing DST
• Investor Alert: Participant Capital Fund I LP 
• Investor Alert: MDS 2019-Marcellus Shale Development LP  
• Investor Alert: NC Student Housing Portfolio DST  
• Investor Alert: TEI Diversified Income & Opportunity Fund IV  
• Investor Alert: SanSal Wellness Holdings Inc.  
• Arete Wealth Management Lawsuit filed involving GWG L Bonds 
• Sovereign Value-Add & Income Strategy Fund I LLC    
• SunTrust/Truist to pay more than $1 Million
• Investor Alert: Integrous Energy Partners LP 
•  SEC Hits Madison Avenue Securities with $800,000 Fine for Violations 
• Investigating Claims involving West Hill Strategic Bond Fund LP    
• FINRA Lawsuit filed against Cetera Advisors
• Francisco Valenzuela, Morgan Stanley to pay $330,000  
• Investor Alert: Apexone Growth & Income Fund II LP 
• Investor Alert: Pure Harvest Cannabis Group Inc.  
• Investor Alert: Edgewood Properties LLLP 
• Investor Alert: KWB Hotel Partners LLC   
• Investor Alert: AmCap Necessity Retail Fund LLC  
• Investor Alert: A-Squared Domino Opportunity I LP 
• Sila Realty Trust Reportedly Fires Chief Accounting Officer 
• Investigating Claims: Terra Secured Income Fund 7  
• Ameriprise Subsidiary Reportedly Fined for VA Switching   
• Industrial Logistics Properties Trust (ILPT) Securities Investigation
• Investor Alert: Madison Retail Box Conversion Opportunity Fund LLC 
• Securities Investigation: iCap Equity LLC  
• Investigating Claims involving GK Secured Income V LLC   
• Barbara Bernatzky Barred after Allegations of Ponzi-scheme 
• Investigating Cunat Multi-family Investment Fund III LLC  
• Investor Alert: TPEG Southlake Hotel Investors LLC 
• Investigating Claims involving MCI Preferred Income Fund IV  
• Do you know what you’re paying your Financial Advisor? 
• Mortgage REITs (mREITs) Decline amid Economic Uncertainty 
• Houston Multifamily Portfolio LP: Investigating Claims
• Securities Investigation: Nuveen California Quality Municipal Income Fund (NAC) 
• Securities Investigation: VanEck Digital Assets Equity UCITS ETF (DAPP) 
• UBS Reportedly Sues Texas Broker Robert Turner
• SPAC Investigation: Investigating Potential Claims involving View Inc.
• Investor Alert: Direxion Daily 7-10 Year Treasury Bull 3x Shares
• Securities Investigation: ProShares Ultra 20+ Year Treasury (UBT)  
• Direxion Daily 20+ Year Treasury Bull 3X Shares (TMF)
• Investor Alert: Caritas Royalties Fund II (Bermuda) Ltd.  
• Securities Regulators Warn Firms about Supervisory Issues
• Allianz Global Pleads Guilty to $5 Billion Fraud Charges 
• SEC Charges StraightPath Venture Partners with Pre-IPO Stock Ponzi Scheme
• Investor Alert: Pacific Oak-Related Meridian DST 
• Concorde Investment Services Lawsuit
• ACP X LLP Securities Fraud Investigation  
• Investor Alert: Whittier Apartment Investors LLC 
• TSG Venture 1 LLC Securities Investigation 
• Robert High II, First Financial Broker, Barred after Fraud Charges  
• Securities Investigation: Pacific West Home Mortgage II, LLC  
• Bastion Real Estate Income Fund LP Securities Investigation 
• Securities Investigation: SRI 5051 SLV LLC
• Investigating Claims involving Pivot Quarry Investments LLC   
• FINRA Sanctions Torch Securities for Failure to Supervise
• Investigating CNL Growth Properties III Feeder LLC   
• Investigating Triloma Seniors Housing Fund – St. Louis LLC    
• Barred Broker Jon Pariser, has 10 Customer Complaints 
• Investigating Claims involving iCap Pacific Income Fund 5 LLC  
• Investor Alert: iCap Vault 1 LLC
• Securities Investigation: Madison Richmond Opportunity Fund I LLC  
• Adam Belardino Charged with Defrauding Client of $313,000 
• Centaurus Lawsuit alleges High-Risk Alternative Investments
• Christopher Passero Suspended after Allegations  
• Tax Scheme involving Charitable Remainder Annuity Trusts
• Mobile Infrastructure Corporation Tender Offer
• Edward Jones Broker John Winslow Barred after Allegations
• Investigating Claims involving Cunat Multi-family Income Fund I LLC
• Medley Management Pay $10 Million Fine
• D. H. Hill Securities Lawsuits: Recovery for GWG Bondholders
• Madison Avenue Securities Complaints: GWG Lawsuits  
• Newbridge Securities Lawsuits: GWG L Bond Investor Complaints 
• FINRA Sanctions Berthel Fisher for Unsuitable Options Trading 
• Cottonwood Multifamily Opportunity REIT Tender Offer
• International Assets Advisory Lawsuits involving GWG L Bonds 
• Cabot Lodge Securities Lawsuits: GWG L Bond Investors  
• Securities Investigation: Chicagoland Supermarket Portfolio DST
• Westpark Capital Investment Fraud Lawsuits: GWG L Bonds
• G. A. Repple & Co. Customer Complaints involving GWG L Bonds
• Lawsuit filed against G.A. Repple & Co. involving GWG L Bonds 
• American Healthcare REIT Tender Offer 
• Did your Center Street broker recommend investing in GWG?  
• Arete Wealth Lawsuits: GWG L Bond Claims   
• Securities Investigation: HPI Real Estate Opportunity Fund III LLC 
• Western International Securities Lawsuits: GWG L Bonds  
• NI Advisors Lawsuits: Options for GWG L Bond Investors
• Aegis Lawsuits for GWG L Bond Investors
• Investment Losses: Moloney Securities Co. & GWG L Bonds  
• Centaurus Lawsuits: Financial Losses involving GWG L Bonds 
• Did your Emerson Equity advisor recommend GWG L Bonds?
• FINRA Lawsuit filed against Emerson Equity LLC
• Chicagoland Fresh Market Venture DST – Securities Investigation  
• Securities Investigation: Aeon Fiber Opportunity Fund I LP 
• Shawn Good Barred after Allegations of Ponzi Scheme 
• Philip Riposo Barred from Securities Industry after Allegations
• Securities Investigation: Sourcely Holdings Inc. 
• Protecting Investors from Misconduct, FINRA releases FAQ on Rule 4111
• FINRA Sanctions IBN Financial Services For GPB Sales 
• Michael Knittel Suspended for Selling Away
• Invesco Rochester Municipal Opportunities Fund (ORNYX)
• Western Asset SMASh Series Core Plus Completion Fund
• Franklin BSP Lending Corp. Investigation
• C4 Equity LLC, Securities Investigation 
• FINRA Sanctions National Securities Corp for Misconduct
• Integrated Wealth Concepts Settles Fraud Lawsuit  
• Marianne Oshee Smith Allegedly Converted Customers’ Funds 
• First Trust High Yield Opportunities 2027 Term Fund Securities Investigation
• Securities Investigation: 1155 Madison Group LLC 
• GWG Holdings Files Chapter 11 Bankruptcy Protection
• Investor Alert: Chicagoland Medical Portfolio II DST
• E2c ESA Bond 1 LLC – Securities Investigation 
• Francis Velten Jr. Accused of Variable Annuity Switching
• Resource REIT, Inc. Securities Investigation
• Securities Investigation: AAG Harvest 2019 LLC 
• Securities Investigation: Izon Network Inc. 
• Securities Investigation – Alitair Pharmaceuticals Inc. 
• Securities Investigation – GB Sciences Inc. 
• BSP Realty Trust becomes Franklin BSP Realty Trust (FBRT)
• Scott Hananel Suspended for Excessive Trading
• Investor Alert: Corporate Property Associates 18 – Global Inc. (CPA:18)
• Jury Finds Ambassador Advisors Breached Fiduciary Duty 
• FS Energy and Power Fund Shareholders may have Recovery Options
• SEC Virtual Event: Safeguarding the Golden Years
• Ex-LPL Broker Jonathan Cooke found liable in Fraud Scheme
• Naseem Salamah Allegedly Stole $1 Million from 3 Clients 
• Steadfast Apartment REIT Shareholder Lawsuits Investigation
• FINRA Claim Filed Against Credit Suisse and UBS
• Dempsey Lord Smith Sanctioned for GPB Capital Offerings  
• BD4RIA Inc. Sanctioned for Misconduct regarding GPB Offering
• Geneos Wealth Sanctioned for LJM Funds & GPB Funds
• FINRA Lawsuit filed against Stifel, Nicolaus & Company, Inc. 
• Mass. Securities Regulator Investigates Firms on Interest Rates
• Paul Koch, RBC Broker, Barred from Securities Industry  
• Advisor Scott Fries Settles Fraud Charges with SEC  
• Cell Point LLC Reportedly Charged with $10 Million Fraud
• Mario Rivero Jr. Reportedly Charged with Stealing from Clients 
• Forrest Jones, Merrill Lynch, Barred from Securities Industry 
• FINRA Sanctions Crown Capital Securities LP for Violations 
• SmartStop Self Storage REIT Suspends SRP
• Deutsche Bank Securities, Inc. Hit with $2 Million Fine 
• WP Carey’s Corporate Property Associates 18 Global Liquidation
• NorthStar Healthcare Income Inc. Losses – Investors may have claims
• FS Global Credit Opportunities Fund: Shareholder Claims
• South Dakota Securities Division Bars Dennis Riordan
• SEC Examines only 1 in 5 Registered Investment Advisors (RIAs) in 2021  
• SEC Charges Cambridge Investment Research with Conflicts of Interest 
• Broker Joseph DeGregorio Charged with Fraud
• Sierra Income Corp. Completes Merger with Barings BDC Inc. (BBDC) 
• Seven Individuals Indicted in Syndicated Conservation Easement Tax Scheme 
• Variable Annuity Switching
• Broker Warren Rowe Jr. Barred from the Securities Industry 
• Broker Andrew Elsoffer Reportedly Suspended for 2 Years  
• Gary Bowman of Sagepoint Sanctioned for Unsuitable UITs 
• Securities Investigation: Horizon Select Technology Fund LLC 
• Securities Investigation: Clarus Enterprises – Residuals Acquisitions LLC 
• Arthur Hoffman, Ameriprise Broker, Fraud Allegations
• James Dunn Jr. has 19 Customer Complaints 
• Permian Basin Royalty Trust (PBT) Securities Investigation 
• Purshe Kaplan Charged with Failure to Supervise Harvest Group’s ETF Sales 
• Risk Alert: SEC finds RIAs Fee Calculations Harmful to Investors  
• Infinity Q Capital Founder Charged with Massive Fraud   
• O.N. Investment Management Reportedly Fined
• FINRA Award: JP Morgan to pay $1.4 Million to Financial Advisor 
• Franklin BSP Realty Trust (FBRT) Series F Shares Tender Offer  
• CION Investment Corporation (CION) Shareholder Lawsuits
• Ex-Wells Fargo Advisor Kenneth Welsh Sued for $10 Million 
• Broker Darryl Cohen Allegedly Defrauded NBA Players
• Black Creek Industrial REIT IV Securities Investigation
• UBS Hit with $1.9 Million in another UBS YES FINRA Suit  
• James Couture Charged with Witness Tampering
• Broker German Nino Charged with Defrauding Advisory Clients 
• Registered Investment Advisor (RIA) – Securities Fraud Attorneys 
• Talkspace Inc. – Investigating Potential Securities Claims   
• Securities Investigation: Strategic Energy Income Fund V LP  
• Mewbourne Energy Partners 21-A LP Investigation 
• Wisconsin Financial and Securities Fraud Attorneys
• Securities Investigation: Scurry County Energy Fund III LP 
• Update: Foresight Energy LP MLP Securities Investigation
• FSKR – FS Investments Lawsuits Update 2022
• Four Springs Capital Trust Postpones IPO 
• Securities Investigation: Catalyst Energy 2019-2 LP 
• Legion Capital Corp. – Investigating Potential Securities Claims   
• Credit Suisse Hit with $9 Million for Violating Rule 
• Hugoton Royalty Trust (HGTXU) Securities Investigation
• Investor Alert: Vanguard Target Retirement Funds
• VII Peaks Capital Lawsuit Investigation *UPDATE*
• CIM Real Estate Finance Trust, Inc. Lawsuit Investigation *UPDATED*
• Casper Grove Partners LLC – Investigating Potential Securities Claims  
• APX Bellatorum Royalties 2020 LP Investor Lawsuits 
• NP Sol Y Luna DST Securities Investigation  
• SEC Permanently Bars Advisor Michael Shillin after Criminal Fraud Charges 
• ProShares Bitcoin Strategy ETF (BITO) Securities Investigation  
• TCF13 Watermark Multifamily Fund LLC: Securities Investigation
• USEDC 2021 Drilling Fund LP, Oil and Gas Private Placement Investigation 
• Waveland Resource Partners V Investor Lawsuits 
• Preston Fisher Royalties LLC Investor Lawsuits
• American Finance Trust Renamed “The Necessity Retail REIT” 
• Denny Pines Partners LLC – Investigating Potential Claims  
• BDCA Changes Name to “Franklin BSP Lending Corporation”
• Securities Investigation: Salem Bend Partners LLC 
• Phalanx Minerals 2018 LP Investor Lawsuits 
• Triad Advisors LLC Sanctioned for Failure to Supervise LJM Fund Sales 
• APX New Harmony Partners-E LP Investor Lawsuits  
• Securities Fraud Investigation: Bellatorum Resources 
• Securities Investigation: S.T.L. Resources Drilling Fund B L.P. 
• National Multifamily Portfolio IV DST: Securities Investigation
• Securities Investigation: Meramec Rich Royalties LLC  
• Go Store It Asheville Storage DST – Investigating Potential Claims  
• BR Glenwood DST Investors may have Claims 
• NB Gathering DST Securities Investigation  
• CION Shareholder Lawsuits after Listing on NYSE  
• Financial Advisor Lee Nordstrom Barred from Securities Industry 
• Investor Alert: Shopoff California Commercial Fund LP  
• Stira Alcentra Global Credit Fund Securities Investigation 
• NexPoint Texas Multifamily DST: Investigating Potential Claims  
• 295 BR Holdco DST – Securities Lawsuit Investigation 
• JP Morgan Securities Hit with $125 Million
• CF Net Lease Portfolio III DST, 1031 Exchange DST Investigation 
• Conestoga Life Settlements Lawsuits Investigation
• Ground Lease REIT Inc. – Lawsuit Investigation 
• Wedbush Securities Settles Charges for Unregistered Microcaps 
• Did your Advisor Recommend a Hospitality REIT?
• Independence Realty Trust Merger with Steadfast Apt. REIT  
• Shareholders approve Steadfast Apartment REIT Merger
• Tuscan Gardens Growth & Income Fund LLC Securities Investigation 
• BR Quinn35 DST – Investigating Potential Claims
• Wells Fargo to pay nearly $2.7 million for early UIT rollovers 
• RK Pointe at Lake Crabtree DST Securities Investigation
• BR Gate DST – Investigating Potential Claims  
• BDCA Investment Losses – Tender Offer Price Suggests Losses for Investors
• Priority Income Fund NAV Continues to Decline  
• How to Recover HIT REIT Investment Losses 
• Inspired Healthcare Capital Fund LP – Investigating Claims 
• NB Crest Investor Units LLC Securities Investigation 
• MVP St. Louis Cardinal Lot DST – Investors may have Claims 
• Tasty Brands LP – Investigating Potential Securities Claims 
• Investor Alert: NB The Mark LLC 
• Carson Oil Field Development Fund II LP Securities Investigation 
• GKPI III LLC Securities Investigation 
• CSRA MOB Portfolio II DST Securities Investigation 
• Alzamend Neuro Inc. (ALZN) Investigating Potential Lawsuits  
• Lightstone Value Plus REIT IV Proxy Provisions
• Atlas Growth Partners LP – Liquidation and Lawsuits 
• Strategic Realty Trust NAV Continues to Decline 
• MDS 2020 Marcellus Shale Development LP Investigation
• N1 Liquidating Trust: NorthStar REIT Liquidation Losses
• NB Downs LLC Securities Investigation 
• Ares Real Estate Income Trust Amends SRP 
• Heartland Drilling Fund I LP, Investigating Potential Claims