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Blog Posts in February, 2016

Firms That Sold 'Ponzi' UDF REITs May Be On the Hook in Wake of FBI Raid, SEC Investigation

Several firms that sold United Development Funding (UDF) real estate investment trusts (REITs) could face arbitration claims from investors who lost money in the now-collapsed United Development ...
Continue reading "Firms That Sold 'Ponzi' UDF REITs May Be On the Hook in Wake of FBI Raid, SEC Investigation" »

Aequitas Capital Note Disaster Serves as Reminder of Importance of Advisors Performing Due Diligence

As Aequitas Capital Management, a firm that formerly reported $1.7 billion in managed assets, continues its collapse with an alleged SEC investigation, one of the many financial advisers that pushed, ...
Continue reading "Aequitas Capital Note Disaster Serves as Reminder of Importance of Advisors Performing Due Diligence" »

Finance 500 Fined & Censured for Inadequate Supervision, Misleading Ads

FINRA censured Finance 500, Inc. of Irvine, California and fined the firm $85,000 for inadequate supervisory systems related to private placement transactions, such as supervisory failures related to ...
Continue reading "Finance 500 Fined & Censured for Inadequate Supervision, Misleading Ads" »

George Johnson Barred, Christopher Wynne Suspended for Market Manipulation Scheme

FINRA barred former Meyers Associates LP broker George Johnson and suspended his supervisor, Christopher Wynne, for allegedly scheming to artificially inflate the market price of over-the-counter ...
Continue reading "George Johnson Barred, Christopher Wynne Suspended for Market Manipulation Scheme" »

FBI Raids United Development Funding in Investigation; UDF Shares Plummet

FBI agents raided the offices of United Development Funding, suggesting a criminal investigation is now underway into the real estate firm. The SEC previously launched its own investigation into ...
Continue reading "FBI Raids United Development Funding in Investigation; UDF Shares Plummet" »

SoCal Broker Angelo Talebi Fined & Suspended for Improper Trading in Customer's Account

FINRA suspended Los Angeles-area broker Angelo Talebi and fined him $10,000 for allegedly executing transactions in a customer's online account without advising his primary firm nor notifying this ...
Continue reading "SoCal Broker Angelo Talebi Fined & Suspended for Improper Trading in Customer's Account" »

FINRA bars brokers Timothy Stephen Dembski and Walter Francis Grenda for fraud related to sales of Prestige Wealth Management Fund, LP.

FINRA barred brokers Timothy Stephen Dembski and Walter Francis Grenda for fraud related to sales of Prestige Wealth Management Fund, LP. According to FINRA, the duo's fraudulent conduct included ...
Continue reading "FINRA bars brokers Timothy Stephen Dembski and Walter Francis Grenda for fraud related to sales of Prestige Wealth Management Fund, LP." »

FINRA Issues Investment Alert for Bait-and-Switch Marketing Ploy Involving High-Yield CD Offers

FINRA issued an investment alert regarding advertisements promoting high yield CDs that offer rates significantly higher than other bank products, warning investors that such an ad may instead be a ...
Continue reading "FINRA Issues Investment Alert for Bait-and-Switch Marketing Ploy Involving High-Yield CD Offers" »

Next Financial Group, Key Investment Services & Stephens, Inc. to Pay $1.2 Million in Fines and Restitution for Discount Failures

FINRA sanctioned three broker-dealers for failing to apply sales charge discounts for eligible volume purchases of unit investment trusts (UITs), doling out fines and orders of restitution totaling ...
Continue reading "Next Financial Group, Key Investment Services & Stephens, Inc. to Pay $1.2 Million in Fines and Restitution for Discount Failures" »

Oil, Gas & Emerging Market Funds Among Those with Worst Total Losses Over Past Three Years

The market trend for funds over the past few years indicates several areas associated with poor performance. Specifically, several funds related to natural resources and oil/gas services, metals or ...
Continue reading "Oil, Gas & Emerging Market Funds Among Those with Worst Total Losses Over Past Three Years" »
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