Nov 11th, 2015

Investors Overcharged at National Planning Corp, a Jackson National Life Affiliate

The Financial Industry Regulatory Authority (FINRA) recently fined National Planning Corporation (NPC) $30,000 for overcharging clients who purchased non-traded REITs. Non-traded REITs are a risky, illiquid […]
Nov 11th, 2015

At JP Turner Our Customers Are Number… Two?

JP Turner is once again in the regulatory spotlight, being fined by $45,000 by FINRA for failing to give their clients volume discounts their investors were […]
Nov 11th, 2015

Lonny Bernath of Headline Capital Management LLC Targeted By The SEC

According to the Securities and Exchange Commission, Lonny Bernath established several investment funds, but misled investors as to how their funds would be invested, and failed […]
Nov 10th, 2015

Pennsylvania Investment Advisers Defraud Hundreds of Investors of Over $50 Million

A father-son investment team in Pennsylvania recently settled a lawsuit filed by the Securities and Exchange Commission (SEC) in federal court. According to the complaint, Kevin […]
Nov 4th, 2015

Multimillion Dollar Ponzi Scheme in Orange County Perpetrated by Roy Dekel and Diverse Financial Corporation

According to an SEC complaint filed in federal court a few days ago, investors who trusted Roy Dekel and Diverse Financial Corporation in Newport Beach may […]
Oct 22nd, 2015

Glendale Securities Settles Front Running Allegations With FINRA

Glendale Securities of Sherman Oaks, California recently agreed to a $12,500 fine and interest payments due to “front running” trades. A broker-dealer engages in front running […]
Oct 9th, 2015

Lee D. Weiss of MIP Global and Family Endowment Partners Sued By SEC

The Securities & Exchange Commission has filed charges against Lee Weiss for what is, frankly, an impressive series of investment schemes and scams for a licensed […]
Oct 8th, 2015

One More Reason Why Municipal Bonds Are Not As Safe An Investment As You Thought

The municipal bond market is a popular piece of many retirement portfolios, but it is riskier than many retirees suppose. Municipal bonds are bonds issued by […]
Oct 5th, 2015

Investing In Physical Gold In Your IRA Is ALWAYS A Bad Investment

There are plenty of folks who like investing in gold. Personally, I don’t see the attraction as an investment, although gold is very shiny. However, if […]
Sep 28th, 2015

Edward Jones Makes Millions Overcharging Investors For Municipal Bonds

According to a recent SEC order, Edward Jones has been overcharging for municipal bonds, pocketing an extra $4.5 million as a result of its willful securities […]