A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for August 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Dennis Ayre Hilltop Securities Inc. Oppenheimer & Co. Inc. Bruce Davis …
According to FINRA Disciplinary actions for August 2023, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for August 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Joshua Lovings…
Forensic financial research group Hindenburg Research has just published a new report on Nanban Ventures. This Frisco, Texas-based “investment” company is concentrating its marketing in the Indian American community of the Dallas-Fort Worth area. Their extensive report details the marketing and the true information of one person and a series…
Silver Law Group represents Northstar Financial Services (Bermuda) investors on a contingency fee basis in claims to recover their investment losses. Brokers allegedly sold Northstar Bermuda to investors as a low risk alternative to CDs that protected their principal and guaranteed income. But the company is now in liquidation, leaving…
Investors with money in some of financier Greg Lindberg’s many companies, including Northstar Financial Services (Bermuda), have suffered significant harm as billions of investor dollars are frozen and liquidation and litigation drag on. Ultimatelly, investors are not expected to recover a significant amount of money. Lindberg was criminally charged by…
Silver Law Group, a nationally-recognized class action law firm representing shareholders, is investigating Sculptor Capital Management (SCU) regarding its sale to Rithm Capital Corp and potential breach of fiduciary duty claims against the board of directors of Sculptor. If you own shares of Sculptor Capital Management (SCU), Silver Law Group…
Structured notes are a lesser-known investment vehicle for individual retail investors. These are hybrid-style investments that combine several different types of investments based on something else, such as the S&P 500, interest rates, commodities, foreign currency exchanges, or one or more securities. An investor’s return is linked to this outside…
The SEC recently issued a press release for investors warning about leveraged and inverse ETF. This press release explains more and emphasizes that ETFs are not all the same. Not understanding the ETF type and how it works can lead to investor losses. An ETF is similar to mutual funds…
In another piece of the puzzle that is GWG Holdings, the SEC is also investigating its subsidiary, the Dallas, Texas-based investment company Beneficient. Begun by founder Brad Heppner, the intent was to bring “mom-and-pop” investors the same types of opportunities normally afforded to larger investors. Much like GWG, Beneficient also…