Private Securities

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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Jan 11th, 2016
Published by Jeremy Hyndman at Jan 11th, 2016
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Update on SEC Lawsuit against James Torchia and Credit Nation Capital: January 7 Hearing on Motion for Preliminary Injunction

Let’s cut to the chase: The Court has not ruled on the SEC’s motion for a preliminary injunction and will not do so until February. The […]
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Dec 11th, 2015
Published by Jeremy Hyndman at Dec 11th, 2015
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Investor F.A.Q.s About S.E.C. Lawsuit Against Jim Torchia and Credit Nation Alleging Ponzi Scheme For Sale Of Viaticals And Promissory Notes

Many investors have contacted us regarding a lawsuit filed by the U.S. Securities Commission against James “Jim” Torchia, Credit Nation, and affiliated entities. We wrote an […]
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Dec 2nd, 2015
Published by Jeremy Hyndman at Dec 2nd, 2015
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Massive Ponzi Scheme And Life Settlement Scam By James Torchia of Credit Nation Raises Investment Fraud To A Whole New Level In Canton, Georgia

According to a complaint recently filed by the Securities & Exchange Commission (SEC) in the U.S. District Court for the Northern District of Georgia, tens of […]
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Nov 25th, 2015
Published by Jeremy Hyndman at Nov 25th, 2015
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Edward Jones Financial Advisor Bernard Parker Faces Criminal Charges For Operating Ponzi Scheme in Indiana, Pennsylvania

Bernard Parker stole investor money to remodel his house, but now it looks like he will be living in a federal penitentiary. According to the Securities […]
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Nov 20th, 2015
Published by Jeremy Hyndman at Nov 20th, 2015
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Head of Enviso Capital Ryan Bowers Fined and Suspended By FINRA For Withholding Information From Investors In San Diego.

Ryan Neel Bowers of Enviso Capital has been fined $25,000 and suspended from the brokerage industry for five months for failure to make important disclosures to […]
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Nov 20th, 2015
Published by Jeremy Hyndman at Nov 20th, 2015
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James (“Jim”) Belenis of KMS Financial Fined and Suspended For Improper Sales of Gold Mining Company in Davis California

James D. (“Jim”) Belenis of KMS Financial in Davis, California went off the reservation and ended up in a gold mine. Mr. Belenis broke FINRA rules. […]
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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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