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Michael S. Edmiston
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Due Diligence
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April 22, 2022
After Causing Investor Losses, Bankrupt GWG Holdings Blames SEC Investigation For GWGH Failures
April 21, 2022
Troubled GWG Holdings Finally Files for Bankruptcy, Sealing Many Investors' Losing Fates
April 12, 2022
GWG Sanctioned by NASDAQ As More Brokerage Sellers Appear
April 08, 2022
GWG Holdings Losses Grow in California with Centaurus, Kingswood's Mark John Williams
April 04, 2022
GWG to File for Chapter 11 Bankruptcy - GWG L Bond Investors May Be Entitled To Damages
March 09, 2022
Investors Advised to "Avoid GWGH" as GWG Holdings Deemed Problematic in 2015
February 26, 2022
L Bond Losses: Defining GWG Holdings' Unsuitably Risky Product
February 23, 2022
Unsuitably Recommended and Sold to Investors, GWG Holdings L Bonds Lose Value, Paving Way for Arbitration
December 30, 2021
Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
August 07, 2018
Compliance Officer Claims Retaliation in Firing from Purshe Kaplan Sterling After Reporting Alt Investment Red Flags to FINRA
July 02, 2019
Dunkerley Named in $43 Million Dollar Fraud Scheme Tied to LAFC Soccer Team Owner
June 13, 2019
Nina Jessee Latest Cetera Advisors Broker Barred by FINRA
November 23, 2018
San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
September 11, 2018
HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation
August 22, 2018
Merrill Lynch to Pay $8.9 Million to SEC for Failing to Disclose Conflict of Interest
June 27, 2018
Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
February 16, 2022
Emerson Equity-Pushed GWG L Bonds Face Imminent Default After Failing to Pay Investors
January 15, 2022
Triad Advisors Disciplined for Failing to Supervise LJM Mutual Fund Recommendations, Which Lost 80% In Value Before Liquidating
April 12, 2021
Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures
March 31, 2021
Broker-Dealer's Due Diligence Duties for Private Placements Require Research and Supervision
December 11, 2020
California's Infinity Financial Services Fined $35k Over Inadequate Background Checks of Brokers, Failing to Obtain Industry Approvals
May 23, 2020
SunTrust Investment Services to Pay $634,000 Over Unsuitable ETF Sales
May 20, 2020
Brokerage Warning Issued for Oil-Linked ETPs, Including US Oil Fund
March 25, 2020
Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
March 24, 2020
Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
December 31, 2019
Hicks Latest Broker Accused of Unsuitable High-Risk REIT and BDC Sales to Senior Citizen Investors
October 15, 2019
Newbridge Fined $225,000 for Complex Securities, ETF Supervision Failures
July 02, 2018
Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
January 04, 2018
Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule
October 06, 2017
SEC Charges Tweed Investment Services and Owner Robert Tweed with Fraud in Athenian Fund Scheme
July 27, 2017
PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale
February 21, 2017
Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud
November 01, 2016
Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
September 29, 2016
UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
September 07, 2016
Jerry McCutchen Barred in Connection with Over 20 Customer Complaints Alleging REIT & Alt Investment Unsuitability, Misrepresentations
September 06, 2016
Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000
August 25, 2016
SEC Fines 13 Firm $2.2 Million for Repeating False ETF Claims by F-Squared Investments
August 11, 2016
Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
June 29, 2016
Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
May 27, 2016
FOG Equities Fined $60k, Brokers David Spack & Scott Epstein Fined and Suspended for AML, Due Diligence Failures in Penny Stock Transactions
May 04, 2016
David Miller Barred, Ordered to Pay $800k in Restitution for Unsuitable UIT Recommendations
April 26, 2016
Securities America Fined $250k, Broker Stuart Horowitz $100k, for Inadequate Due Diligence, Unsuitable Trading of Preferred Notes
March 05, 2016
David Escarcega Barred for Fraudulent Statements, Unsuitable Debenture Sales to Elderly Clients
February 24, 2016
Aequitas Capital Note Disaster Serves as Reminder of Importance of Advisors Performing Due Diligence
February 21, 2016
Finance 500 Fined & Censured for Inadequate Supervision, Misleading Ads
February 01, 2016
Oil, Gas & Emerging Market Funds Among Those with Worst Total Losses Over Past Three Years
January 06, 2016
2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
December 22, 2015
Cantor Fitzgerald Sanctioned $7.3 Million for Billions of Unregistered Microcap Sales, Supervisory & AML Failures
September 24, 2015
FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
July 08, 2015
F-Squared Files for Bankruptcy in Wake of $35 Million Settlement Over False Performance Claims
June 18, 2015
Wells Fargo Accused of Deficient Due Diligence on ETF-Based F-Squared Investment Losses
April 10, 2015
New Hampshire Regulator Seeks $3.6 Million from LPL for Unsuitable REIT Sales to Elderly Clients
January 05, 2015
High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst
November 16, 2014
NASAA Names Top 9 Investor Threats for 2015
March 25, 2014
LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales
February 25, 2014
Berthel Fisher & Co. Financial Services, Affiliate Fined $775,000 for Compliance Failures, Inappropriate Alternative Investment Sales
January 30, 2014
SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments
January 06, 2014
FINRA Targets Frontier Funds: A Developing Market Mutual Funds Primer
November 20, 2013
Proposed Fiduciary Rule Changes Signal Heightened Due Diligence Requirements for Brokers, Advisors
November 17, 2013
Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
October 15, 2013
SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
September 18, 2013
Private Placement Offerings Require Research and Contemplation of Risk
September 11, 2013
Wendy Janeen Worcester Fined and Suspended for Multiple Due Diligence Failures
August 15, 2013
Former Broker John Brady Guyette Convicted on 15 Securities Fraud Felony Counts
August 07, 2013
Sunset Financial Fined $200,000, plus $84,253 in Partial Restitution Ordered for Supervisory Failures
June 24, 2013
Arbitrator Indictment Spotlights Importance of Conducting Due Diligence in Arbitration
May 26, 2013
Oran Ben Carroll Suspended and Fined for Inadequate Due Diligence, Failure to Supervise
April 28, 2013
aryl Marc Holzberg Suspended for Failure to Adequately Supervise, Respond to Red Flags
January 16, 2013
Doran Lynn Follis Suspended for Inadequate Due Diligence, Improper Recommendations
December 20, 2012
Financial West Investment Group Censured & Fined for Inadequate Diligence, Failure to Execute Bond Transactions at Reasonable Prices
December 15, 2012
Massachusetts Securities Regulators Sue LPL Financial over Nontraded REIT Sales
November 26, 2012
David Lerner Associates to Pay $12 Million in Restitution in Connection with Inadequate Due Diligence, Excessive Markups
October 22, 2012
William Michael Jordan Fined and Suspended for Improper Recommendations and Lack of Due Diligence Related to Third Party's Slush Fund Operation
October 12, 2012
Ralph Thomas Gannett Suspended for Inadequate Due Diligence Related to Private Placement Sale
August 11, 2012
Christipher Lynn Belonge Fined Over $50,000 & Suspended for Inadequate Supervision Resulting in Significant Investment Losses
June 20, 2012
John Brady Guyette Suspended & Fined for Fraudulent Misrepresentations in Recommending Investment Options
June 11, 2012
Russell Kent Childs Suspended and Ordered to Pay Restitution for Improper Charges
