Common Misconduct

Sep 5th, 2016
Published by Jeremy Hyndman at Sep 5th, 2016
Categories

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 […]
Do you like it?0
0 Read more
Apr 29th, 2016
Published by Jeremy Hyndman at Apr 29th, 2016
Categories

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 […]
Do you like it?0
0 Read more
Mar 10th, 2016
Published by Jeremy Hyndman at Mar 10th, 2016
Categories

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 […]
Do you like it?0
0 Read more
Feb 26th, 2016
Published by Jeremy Hyndman at Feb 26th, 2016
Categories

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 […]
Do you like it?0
0 Read more
Jan 29th, 2016
Published by Jeremy Hyndman at Jan 29th, 2016
Categories

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 […]
Do you like it?0
0 Read more
Jan 11th, 2016
Published by Jeremy Hyndman at Jan 11th, 2016
Categories

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 […]
Do you like it?0
0 Read more
Dec 23rd, 2015
Published by Jeremy Hyndman at Dec 23rd, 2015
Categories

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 […]
Do you like it?0
0 Read more
Dec 23rd, 2015
Published by Jeremy Hyndman at Dec 23rd, 2015
Categories

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 […]
Do you like it?0
0 Read more
Dec 23rd, 2015
Published by Jeremy Hyndman at Dec 23rd, 2015
Categories

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 […]
Do you like it?0
0 Read more
Dec 11th, 2015
Published by Jeremy Hyndman at Dec 11th, 2015
Categories

Investor F.A.Q.s About S.E.C. Lawsuit Against Jim Torchia and Credit Nation Alleging Ponzi Scheme For Sale Of Viaticals And Promissory Notes

Many investors have contacted us regarding a lawsuit filed by the U.S. Securities Commission against James “Jim” Torchia, Credit Nation, and affiliated entities. We wrote an […]
Do you like it?0
0 Read more
Prev page
1234567891011121314
Next page