Risky Investments

Nov 10th, 2016
Published by Jeremy Hyndman at Nov 10th, 2016
Categories

Investors Capital Corp. in Trouble. Again.

The bad news for Investors Capital Corp., an independent brokerage firm, just keeps coming. Recently one of its financial advisors, Cyrus Lamont Hancock of Marietta, Georgia, […]
Do you like it?0
0 Read more
Nov 9th, 2016
Published by Jeremy Hyndman at Nov 9th, 2016
Categories

J. Randall Gladden of Securities Equity Group, Affiliate of Select Portfolio Management, Suspended for Involvement in Church Fund

In La Mesa, California, financial advisor J. Randall Gladden has been suspended from the brokerage business for a full year due to his involvement in the […]
Do you like it?0
0 Read more
Nov 7th, 2016
Published by Jeremy Hyndman at Nov 7th, 2016
Categories

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

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 […]
Do you like it?0
0 Read more
Sep 17th, 2016
Published by Jeremy Hyndman at Sep 17th, 2016
Categories

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 […]
Do you like it?0
0 Read more
Sep 7th, 2016
Published by Jeremy Hyndman at Sep 7th, 2016
Categories

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 […]
Do you like it?0
0 Read more
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 19th, 2016
Published by Jeremy Hyndman at Mar 19th, 2016
Categories

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 […]
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
Prev page
1234567
Next page