Private Securities

Mar 9th, 2017

AEQUITAS ONE YEAR UPDATE: Receiver’s Efforts May Disappoint Investors, New Report Shows

  A recent report by the Aequitas Receiver, Ronald Greenspan, indicates that the vast majority of investors may not receive as much as anticipated from his […]
Feb 11th, 2017

Mr. Tracy R. Turner of Turner Financial Group Sued by Securities Regulator for Allegedly Improper Securities Sales

Investors who invested in 1031 exchanges through Tracy Turner and Turner Financial Group of Carlsbad, California may be regretting that decision. According to a complaint filed […]
Feb 8th, 2017

Vanclef Financial Group in Hot Water for Misleading Marketing of Alternative Investments like Non-Traded REITs.

Clients of Vanclef Financial Group might be finding out the hard way that you can lose a lot of money in alternative investments. The Financial Industry […]
Nov 10th, 2016

Investors Capital Corp. in Trouble. Again.

The bad news for Investors Capital Corp., an independent brokerage firm, just keeps coming. Recently one of its financial advisors, Cyrus Lamont Hancock of Marietta, Georgia, […]
Nov 9th, 2016

J. Randall Gladden of Securities Equity Group, Affiliate of Select Portfolio Management, Suspended for Involvement in Church Fund

In La Mesa, California, financial advisor J. Randall Gladden has been suspended from the brokerage business for a full year due to his involvement in the […]
Oct 11th, 2016

SEC Sides with NBA Star Tim Duncan of San Antonio Spurs Against Financial Advisor Charles A. Banks, IV

The SEC has accused a long time financial advisor to pro athletes, Charles A. Banks, IV, with securities fraud. While the SEC’s complaint doesn’t name the […]
Sep 17th, 2016

BREAKING: Aequitas Receiver’s First Receivership Report Suggests Steep Losses Ahead for Investors

On September 14, 2016, the Aequitas receiver released his first report. Including exhibits, it is over 200 hundred pages of dense material. You can read it […]
Sep 7th, 2016

Six Month Update On Aequitas Lawsuit: Why Aequitas Investors Need to Seriously Consider Suing their Financial Advisor

The US Securities & Exchange Commission filed its lawsuit against Aequitas about six months ago, so now seems to be a good time to evaluate what […]
Sep 5th, 2016

Concert Wealth Management Woes Worse than Just Aequitas – SEC Finds Willful Securities Law Violations

Investors who purchased Aequitas investments through Concert Wealth Management advisers might not be surprised to learn that Concert Wealth Management is in trouble again. (Several Concert […]
Apr 29th, 2016

BAD NEWS: Federal Judge Rules Credit Nation Capital and James “Jim” Torchia Probably Defrauded Investors in SEC Lawsuit

On April 26, U.S. District Court Judge Duffy entered an order in the SEC’s lawsuit against Credit Nation Capital and James Torchia that contained devastating news […]