Risky Investments

Jul 7th, 2017

SPECIAL REPORT: Clay Hoffman of Summit Financial in Brunswick BARRED from securities industry for failure to cooperate with investigation into his alleged unauthorized trading, excessive trading, and fraud

After a long, checkered career, Clay Hoffman has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). According to FINRA, Mr. Hoffman […]
Jul 4th, 2017

SPECIAL REPORT: Wilson-Davis & Co. Fined for Improper Penny Stock Trades

Wilson-Davis is in trouble again with the Financial Industry Regulatory Authority (FINRA). According to FINRA, Wilson-Davis, which is based in Salt Lake City but also has […]
May 30th, 2017

Five Signs of Investment Fraud

  Investors deserve peace of mind. Whether you are saving up to buy a home or for your retirement, you should be able to have confidence […]
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 10th, 2017

First Southern Securities Busted for Bad Municipal Bond Sales

Clients of First Southern Securities of Alpharetta, Georgia may have paid too much for their municipal bonds, or get paid too little if they ever sell […]
Feb 9th, 2017

Dougherty & Company Censured for Unauthorized, Unsuitable Trades in Elderly Investors’ Accounts

The Financial Industry Regulatory Authority (FINRA) censured and fined Dougherty & Company after one of its “top producers” allegedly ripped off elderly investors by executing hundreds […]
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 13th, 2016

Sigma Financial Busted for Overcharging Customers on Unit Investment Trusts (UITs)

  Sigma Financial joined a long line of brokerage firms that have gotten in trouble for overcharging customers recently, settling allegations brought by the Financial Industry […]
Nov 13th, 2016

ProEquities Financial Advisors Sold ETFs Without Proper Supervision

If you are having second thoughts about an alternative ETF sold to you by a ProEquities financial advisor, there may be good reasons! ProEquities recently paid […]