Investment Firms

Nov 7th, 2016
Published by Jeremy Hyndman at Nov 7th, 2016
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Three Reasons You Might Regret Buying a Variable Annuity from an HD Vest Financial Advisor

HD Vest recently signed a settlement agreement with one of its regulators settling disputes about issues at HD Vest that could significantly affect whether HD Vest […]
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Oct 11th, 2016
Published by Jeremy Hyndman at Oct 11th, 2016
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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 […]
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Oct 4th, 2016
Published by Jeremy Hyndman at Oct 4th, 2016
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What does a Receivership Do? An Investor’s Guide to How Receivers Recover Investment Losses While (Hopefully) Avoiding Bankruptcy

​If you’re reading this article, there is a good chance you invested in or through an entity that is now in receivership, and you probably have […]
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Sep 17th, 2016
Published by Jeremy Hyndman at Sep 17th, 2016
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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 […]
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Sep 7th, 2016
Published by Jeremy Hyndman at Sep 7th, 2016
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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 […]
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Sep 5th, 2016
Published by Jeremy Hyndman at Sep 5th, 2016
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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 […]
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Apr 29th, 2016
Published by Jeremy Hyndman at Apr 29th, 2016
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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 […]
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Mar 19th, 2016
Published by Jeremy Hyndman at Mar 19th, 2016
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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 […]
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Mar 10th, 2016
Published by Jeremy Hyndman at Mar 10th, 2016
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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 […]
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Feb 26th, 2016
Published by Jeremy Hyndman at Feb 26th, 2016
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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 […]
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