Mar 19th, 2016

SEC Lawsuit against Aequitas is both Good News and Bad News for Investors

Late to the party, the U.S. Securities & Exchange Commission finally filed suit against Aequitas on March 10, 2016. The SEC Complaint Explains how Things went […]
Mar 10th, 2016

Aequitas Lawsuit Offers Clues to What Caused Investment Losses: Should Financial Advisors Have Foreseen the Aequitas Implosion in 2012?

Due diligence. It’s what financial advisors should do before they recommend an investment to their clients, and it’s what they should keep doing when their clients […]
Feb 26th, 2016

SPECIAL REPORT: Aequitas Capital Will Cause Widespread Investor Losses Due to Devious Use of TAMPS; Investment Advisors Like Private Advisory Group & Strategic Capital Alternatives Had Perverse Incentives to Invest in Aequitas Capital Opportunities Fund

From left to right: Bob Jesenik, CEO & CIO, Scott Gillis, COO, Craig Froude, EVP, Brian Rice, EVP, Andy MacRitchie, CCO, and Brian Oliver, EVP INVESTOR […]
Feb 15th, 2016

CoCos in Plain English: Understanding What Contingent Convertible Bonds Are and How They Work for Individual Investors

Would you let someone pay you to build your dream home on a fault line? Ironically, that is what investors are doing who are building their […]
Jan 29th, 2016

VGTEL Update: Financial Advisors Who Helped Ed Durante a/k/a Ted Wise Commit Securities Fraud Arrested By FBI – Abida Khan, Christopher Cervino, And Larry Werbel Behind Bars

According to the Federal Bureau of Investigation, three financial advisers who allegedly participated in the VGTEL pump-and-dump scheme orchestrated by Edward Durante a/k/a Ted Wise have […]
Jan 11th, 2016

Update on SEC Lawsuit against James Torchia and Credit Nation Capital: January 7 Hearing on Motion for Preliminary Injunction

Let’s cut to the chase: The Court has not ruled on the SEC’s motion for a preliminary injunction and will not do so until February. The […]
Dec 24th, 2015

Three Signs You Should Sue Your Financial Advisor For Negligence Or Malpractice

Some investor claims are easy to see, such as when money is simply missing from an account or a financial advisor has been arrested for securities […]
Dec 23rd, 2015

Al Doherty of Citigroup’s San Ramon Office Punished For Improperly Taking Money From Elderly Investor

Allison “Al” Taiye Doherty will have some extra time on her hands after receiving a four month suspension from the securities industry. According to the Financial […]
Dec 23rd, 2015

Denny P. Darmodihardjo of Rockwell Global Suspended From Securities Industry For Unsuitable, Excessive Trading

The Financial Industry Regulatory Authority (FINRA) recently took the rare step of filing an enforcement action against an individual broker for mistreating a customer. As a […]
Dec 23rd, 2015

VGTel Investment Fraud By Edward Durante aka Ted Wise Scams Over Fifty Investors Of $11 Million In Pump-And-Dump Scheme

Many investors in VGTel are learning that the man who they met as Ted Wise is not who he claimed to be, and that their investments […]