Risky Investments

Nov 16th, 2015
Published by Jeremy Hyndman at Nov 16th, 2015
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Newport Coast Securities Fined For Failing Catch Theft By Financial Advisor Gregory Allen Baldwin

The Financial Industry Regulatory Authority (FINRA) recently censured and fined Newport Coast Securities for lax supervision of its financial advisors. What one financial advisor, Greg Baldwin, […]
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Nov 12th, 2015
Published by Jeremy Hyndman at Nov 12th, 2015
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Philip Dunwoody Cox of Bluestone Wealth Planning Suspended for Creating False Financial Records

The Financial Industry Regulatory Authority (FINRA) recently suspended Mr. Cox from associating with any broker-dealer for three months due to his conduct at Sterne Agee. According […]
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Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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Investors Overcharged at National Planning Corp, a Jackson National Life Affiliate

The Financial Industry Regulatory Authority (FINRA) recently fined National Planning Corporation (NPC) $30,000 for overcharging clients who purchased non-traded REITs. Non-traded REITs are a risky, illiquid […]
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Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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At JP Turner Our Customers Are Number… Two?

JP Turner is once again in the regulatory spotlight, being fined by $45,000 by FINRA for failing to give their clients volume discounts their investors were […]
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Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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Lonny Bernath of Headline Capital Management LLC Targeted By The SEC

According to the Securities and Exchange Commission, Lonny Bernath established several investment funds, but misled investors as to how their funds would be invested, and failed […]
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Nov 10th, 2015
Published by Jeremy Hyndman at Nov 10th, 2015
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Pennsylvania Investment Advisers Defraud Hundreds of Investors of Over $50 Million

A father-son investment team in Pennsylvania recently settled a lawsuit filed by the Securities and Exchange Commission (SEC) in federal court. According to the complaint, Kevin […]
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Nov 4th, 2015
Published by Jeremy Hyndman at Nov 4th, 2015
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Multimillion Dollar Ponzi Scheme in Orange County Perpetrated by Roy Dekel and Diverse Financial Corporation

According to an SEC complaint filed in federal court a few days ago, investors who trusted Roy Dekel and Diverse Financial Corporation in Newport Beach may […]
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Oct 8th, 2015
Published by Jeremy Hyndman at Oct 8th, 2015
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One More Reason Why Municipal Bonds Are Not As Safe An Investment As You Thought

The municipal bond market is a popular piece of many retirement portfolios, but it is riskier than many retirees suppose. Municipal bonds are bonds issued by […]
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Oct 5th, 2015
Published by Jeremy Hyndman at Oct 5th, 2015
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Investing In Physical Gold In Your IRA Is ALWAYS A Bad Investment

There are plenty of folks who like investing in gold. Personally, I don’t see the attraction as an investment, although gold is very shiny. However, if […]
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Sep 28th, 2015
Published by Jeremy Hyndman at Sep 28th, 2015
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Edward Jones Makes Millions Overcharging Investors For Municipal Bonds

According to a recent SEC order, Edward Jones has been overcharging for municipal bonds, pocketing an extra $4.5 million as a result of its willful securities […]
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