Risky Investments

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 […]
Nov 10th, 2016

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, […]
Nov 9th, 2016

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 […]
Nov 7th, 2016

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 […]
Oct 11th, 2016

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 […]
Sep 17th, 2016

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 […]
Sep 7th, 2016

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 […]
Sep 5th, 2016

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 […]
Apr 29th, 2016

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 […]
Mar 19th, 2016

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 […]