January, 2018
Archive

James Polese January 31, 2018

2 Former Morgan Stanley Brokers Plead Guilty to Fraud

James Polese and Cornelius Peterson Allegedly stole $500 K from 2 clients Two former

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Summit Healthcare REIT January 31, 2018

New Tender Offer – Summit Healthcare REIT – $1.42/Share

Mackenzie Realty Capital – Tender offer –  Summit Healthcare REIT Did

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Matthew Peregoy January 30, 2018

Finra Bars 2 Brokers – Alleged Fund Misuse

FINRA Bars Matthew Kerby and Matthew Peregoy for Separate Matters According to the

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elder fraud January 30, 2018

FINRA’s New Elder Fraud Rule – Takes Effect February 5

Regulator Tackles Elder Fraud Issue According to the Financial Industry Regulatory

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Tim Duncan January 30, 2018

Update – Tim Duncan Receives $7.5 million Settlement

 Ex-Financial Adviser Charles Banks serves Prison Sentence for Fraud According to

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ARC New York City REIT January 30, 2018

Third Party Tender Offer – ARC New York City REIT

Recover your Losses in ARC New York City REIT Are you concerned about your

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James C. Tao January 29, 2018

Former Texas Financial Advisor James C. Tao Settles SEC Charges

SEC Charges James C. Tao with Defrauding Private Equity Fund Investors According to

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Baqua Inc. January 26, 2018

Baqua Inc. – Private Placement Investment – Investigation

Secondary Market Listing – Baqua Inc. – $2.24/share Are you concerned about

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Hospitality Investors Trust January 26, 2018

Hospitality Investors Trust Losses- Investigation

Hospitality Investors Trust Losses – HIT REIT– $8.75/share The White Law

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Joseph C. Farah January 26, 2018

Joseph C. Farah Barred from Securities Industry

FINRA Alleges Joseph C. Farah Churned Customer’s Account According to the

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