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Private Placements

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February 23, 2022 Unsuitably Recommended and Sold to Investors, GWG Holdings L Bonds Lose Value, Paving Way for Arbitration
October 20, 2021 Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
July 26, 2019 GPB Capital Sued for Alleged Serious Financial Misconduct
July 16, 2019 Convicted Fraudster Daniel Vazquez Gets Prison for Swindling Seniors Out of $2.6 Million
July 05, 2019 SEC Complaint Names LPL Financial Ex-Broker Kerry Lee Hoffman Alongside Fraudster Thomas Conwell
June 25, 2019 Profits Before People - GPB Capital Paid High Commissions to Sell Troubled Products
April 18, 2019 John Ernst Sanctioned for Ponzi-Laden Woodbridge Note Sales
February 13, 2019 Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital
February 05, 2019 Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study
January 23, 2019 FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
December 19, 2018 FINRA and SEC Launch Investigation of GPB Capital Holdings
December 07, 2018 Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit
November 29, 2018 Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme
November 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
September 15, 2018 Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation
August 09, 2018 Frank Marino Sanctioned for False, Misleading, and Inaccurate Claims on Cannabis Investment Company Website
August 01, 2018 Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions
July 05, 2018 Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm
June 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
December 22, 2022 FINRA Bars PFS Vice President Desiderio Torrez After Customer Complaint
December 15, 2022 Transamerica Broker Guatam Arora Arrested in Southern California on Fraud Charges
August 19, 2022 Broker Zachary Hansen Suspended After Selling Away From UBS Financial Services
July 23, 2022 Steven Kiyoto Hirata Barred After Investigation into Private Securities Transactions
June 15, 2022 Megurditch Patatian Barred for $8 Million of Unsuitable REIT & Variable Annuity Recommendations
May 13, 2022 Ex-Morgan Stanley Broker Nikolay Zotenko Cited for Improperly Marketing Private Placements
May 09, 2022 LPL Financial Broker Bruce Amman Cited for Transacting $3.5 Million Private Placement Without LPL Approval
May 06, 2022 TCFG Broker Janie Garza-Clark Barred After Fraud Complaint, Investigation
April 01, 2022 TCFG Wealth Broker David McDonnell Barred in Outside Business Activity Investigation
March 25, 2022 FINRA Fines Dempsey Lord Smith & BD4RIA for Private Placement Sales of "Ponzi-like" GPB Capital
March 24, 2022 Geneos Wealth Management to Pay $400,000 for Improper Alt Investment Sales
November 29, 2021 WestPark Capital Sanctioned for Misrepresentations in $3.9 Million Promissory Note Sales
November 22, 2021 Non-Traded Real Estate Investment Trusts: Recovering Damages when a Broker Unsuitably Recommends a REIT
May 13, 2021 IRS Warns of Conservation Easement Tax Scams as Brokers Raise Billions
April 26, 2021 FINRA Bars John Lee Scott of LPL Financial (Phoenix) During Outside Business Activity nad Private Securities Transaction Investigation
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
March 22, 2021 Growth Capital Services Fined $35,000 for Distributing Misleading Description of Risky Private Placements and Disclosure Failures
March 18, 2021 Whitehall-Parker Securities, Robert James Yuloo Cited for Failing to Supervise Broker Who Sold Fraudulent Woodbridge Ponzi Scheme Products
February 22, 2021 Wells Fargo's Scott Reed Barred After Selling $3.5 Million of Web/Software Investments Away from Firm
October 28, 2020 David Walters Cited for Outside Business, Private Securities Transactions
June 20, 2020 E-mail Communication Failures - What a Terminated CEO, WhatsApp Broker, Woodbridge & FIP Have in Common
June 11, 2020 Dee Dee Brooks Barred Over Fraudulent Woodbridge Ponzi Scheme, Future Income Payments Solicitations
June 09, 2020 CFP Board Disciplines California's Joel Davidman for Unauthorized Discretion, Alaska's Michael Shamburger and Rob Wedel for Multi-Million Dollar Misconduct
May 01, 2020 Wells Fargo's Bryan Benson Barred After Investigation Into DPP Customer Complaint
April 06, 2020 Accurate Record Keeping & Supervision Vital as FINRA Temporarily Lifts Rules, SEC Suspends In-Person Exams During Pandemic
March 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
January 27, 2020 FINRA Bars NYLife's Kari Bracy Over $300 Million Ponzi Scheme Future Income Payments Misrepresentation
November 08, 2019 Cetera's Christopher Kozak Suspended for Undisclosed Outside Business Activity with Nutrition Bar Investments
October 08, 2019 IFG Broker Martin Batstone Accused of Fraud, Converting Customers' Private Securities Funds for Personal Use
October 04, 2019 James Lamont Sanctioned for Selling $1.5 Million of Notes in Fraudulent Woodbridge Ponzi Scheme
August 10, 2019 Cetera's Mengxuan 'Sharon' Zhang Sanctioned for Falsifying Customer Signature Pages
July 06, 2018 After SEC Fraud Charge, FINRA Bars Robert Tweed for Making False Statements to Obtain $1.6 Million in Athenian Fund LP
July 02, 2018 Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
June 08, 2018 $1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought
June 03, 2018 Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts
May 25, 2018 DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers
May 22, 2018 SEC Bars Lauramarie Colangelo for Helping Tarek Bahgat Misappropriate Client Funds Under Guise of Paying Senior Citizens' Internet Bills
May 08, 2018 Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities
April 20, 2018 FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients
March 19, 2018 Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm
February 22, 2018 Darrell Rideaux Barred During Investigation into Selling Away Allegations
February 06, 2018 Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds
February 05, 2018 SEC Adds Misappropriation to Sports Advisor Ash Narayan's Fraud Charge in Amended Complaint
January 27, 2018 SEC Charges Woodbridge Group of Companies in 'Massive' $1.2 Billion Ponzi Scheme Targeting 8,400 Investors
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
December 18, 2017 Ex-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions
December 08, 2017 Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments
November 18, 2017 Jerry Guttman Barred for 10 Years of Unauthorized Private Securities Transactions
November 05, 2017 First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions
October 13, 2017 Ex-NFP Advisor Services Rep Robert J Regan Suspended for Improper Private Securities Transactions
October 06, 2017 SEC Charges Tweed Investment Services and Owner Robert Tweed with Fraud in Athenian Fund Scheme
October 03, 2017 Sandlapper Securities Accused of Charging $8 Million in Fraudulent Markups for Saltwater Disposal Well Private Placements
September 27, 2017 Ex-Royal Alliance, Next Financial, and Dominion Investment Rep Roger Hudspeth Pleads Guilty to $6 Million Fraud
September 22, 2017 Arbitration Panel Orders Barred Broker Li-Lin Hsu, Ameriprise Financial to Pay $675,000 for Alleged Misrepresentation and Misappropriation of Customer Funds
September 22, 2017 SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations
September 19, 2017 With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended
September 18, 2017 "Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation
September 08, 2017 William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss
August 29, 2017 John Kostic Sanctioned, Disgorgement Ordered for Unauthorized Private Securities Transactions
July 27, 2017 PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale
July 21, 2017 AXA Advisors' Chad Hornaday Barred for Selling Away and Borrowing Money from Client
July 18, 2017 David Gott Sanctioned by FINRA for Selling Interests in "Gott Ice Cream, LLC"
July 14, 2017 Robert Tweed Named in False & Misleading Private Placement Memorandum Complaint, Fraud Investigation
June 23, 2017 Complaint Charges Kyle Harrington, Linda Milberger with Deception, Conversion, Concealment, Selling Away
June 13, 2017 Christopher M. Hawn Fined & Suspended for Unauthorized Private Securities Transactions & Undisclosed Outside Business Activities
June 08, 2017 Ameriprise (Irvine)'s Jim Seol Barred for 'Egregious' Selling Away of $100 Million Private Placements for Immigration's EB-5 Program
June 03, 2017 Ex-Red Ridge Securities CEO Brent Hurt Sanctioned for Failing to Supervise Broker in $1 Million Misappropriation Scheme
May 04, 2017 FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse
May 02, 2017 Ex-LPL Rep Thomas Andrews Charged with Defrauding 23 Investors in Liquidation Scheme
April 07, 2017 Tracy Turner Barred Over False and Misleading Oil-and-Gas Communications Probe
February 21, 2017 Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud
November 22, 2016 Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments
November 07, 2016 Tracy Turner's 35th Disclosure is Complaint Alleging $4.1 Million Private Securities Misconduct
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
September 21, 2016 Avenir Financial Group Sanctioned, CEO Michael Todd Clements Barred, Rep Karim Ibrahim Suspended for Fraud
September 17, 2016 John Randall Gladden Disciplined for $2.1 Million in Unauthorized Private Securities Transactions Away from the Firm
August 24, 2016 Ex-LPL Financial & Crown Capital Broker Eric Kuchel Barred After Failing to Cooperate with Mutual Fund Investigation
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
June 06, 2016 Daniel Miller Fined, Suspended for Undisclosed Outside Real Estate, Private Securities Transactions
June 01, 2016 FINRA Charges Jim Seol with Unauthorized WRCI, EB-5 Immigration Outside Business Activity
April 26, 2016 Securities America Fined $250k, Broker Stuart Horowitz $100k, for Inadequate Due Diligence, Unsuitable Trading of Preferred Notes
April 25, 2016 Customers Accuse LPL Financial and its Ex-Broker Karl Romero of Misrepresentation, Unsuitable Recommendations
March 19, 2016 Risky, Unsuitable Investments in Poorly Performing Energy, Oil and Gas Ventures May Lead to FINRA Claims
March 05, 2016 David Escarcega Barred for Fraudulent Statements, Unsuitable Debenture Sales to Elderly Clients
February 26, 2016 Firms That Sold 'Ponzi' UDF REITs May Be On the Hook in Wake of FBI Raid, SEC Investigation
February 21, 2016 Finance 500 Fined & Censured for Inadequate Supervision, Misleading Ads
February 18, 2016 FBI Raids United Development Funding in Investigation; UDF Shares Plummet
January 06, 2016 2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
September 24, 2015 FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
May 21, 2015 Bradley Claus Barred for Misrepresentation, Unauthorized Oil & Gas and Restaurant Investment Solicitations and Transactions
April 29, 2015 FINRA Orders Avenir Financial Group to Stop Selling to Elderly Customers, Bars Cesar Rodriguez for Fraud
March 07, 2015 FINRA Bars Broker Michael Korson for Misusing Investor Funds from an Undeclared Outside Business Activity
February 17, 2015 Foothill Securities, CCO Stephen Shipp Fined $235k for Inadequate Policies, Systems and Procedures
January 13, 2015 David Rose Sentenced, Restitution Ordered for $2 Million Medical Investment Fraud
January 08, 2015 FINRA Files Complaint Against Bradley Claus, Alleging Improper Oil and Gas Sales, Falsely Tying a Security to Justin Timberlake
January 05, 2015 High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 05, 2014 Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases
March 22, 2014 Irvine Firm Accelerated Capital Group Fined for Misleading and Exaggerated Website Information
February 04, 2014 Proposed Rules Change Requires Firms to Issue Clearer Nontraded REIT Statements
January 30, 2014 SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments
January 23, 2014 SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
December 31, 2013 Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact
December 30, 2013 Bambi Holzer Barred for Unsuitable Provident Royalties Sales, Failure to Disclose and Submission of False Information
November 17, 2013 Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
October 29, 2013 About Time: FINRA Files Complaint Alleging Unsuitable Recommendations, Falsification of Records After Beverly Hills Broker Bambi Holzer Suspended From Industry
October 17, 2013 NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats
October 15, 2013 SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
September 20, 2013 Wade Harlow Bradley Fined & Suspended for Willful Disregard of Minimum Offering Condition, False Representations and Failure to Comply
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 16, 2013 Christian Joel Brand Suspended for Soliciting $510,000 Investment from Elderly, Unsuitable Customer for Failed Project
August 15, 2013 Former Broker John Brady Guyette Convicted on 15 Securities Fraud Felony Counts
August 10, 2013 FINRA Accuses TNP's Tony Thompson of Defrauding Investors, Failing to Pay Out Promissory Notes
July 30, 2013 SEC Lifts Ban on Hedge Fund Ads, Increases Private Placement and Hedge Fund Risk
July 01, 2013 Forrest Nolan Jackson Barred for Selling Away of Notes Related to SEC Lawsuit Defendant
June 10, 2013 Jeffrey Stephen Geraci Suspended, Ordered to Pay Retired Widow Restitution for Unsuitable Recommendations
June 07, 2013 Hugh Monroe Dyson, Jr. Censured, Barred and Ordered to Pay Restitution in Connection with False Representations, Phony IRS Forms and Reports
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
April 23, 2013 Martin Benjamin Feibish Barred For Scheming to Misappropriate Over $5 Million From Elderly Customer Through Fake Investment Vehicles and Forgery
March 24, 2013 LPL Financial Firm Under Fire and On Radar with Several Securities Regulators
March 20, 2013 Jane Elizabeth O'Brien Barred for Unauthorized $3 Million Loans, Failure to Repay Clients, Alleged Securities Fraud
January 22, 2013 James Charles Allen Barred for Failure to Cooperate with Investigation into Material Misrepresentations and Omissions Regarding Oil and Gas Offerings
January 16, 2013 Doran Lynn Follis Suspended for Inadequate Due Diligence, Improper Recommendations
October 12, 2012 Ralph Thomas Gannett Suspended for Inadequate Due Diligence Related to Private Placement Sale
August 20, 2012 FINRA Fines & Suspends Craig Lamont Miller for Improper Recommendations Outside of Firm
August 11, 2012 Christipher Lynn Belonge Fined Over $50,000 & Suspended for Inadequate Supervision Resulting in Significant Investment Losses
July 10, 2012 Real Estate Broker Tony Thompson Suspends Interest Payments to Investors

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