Finding out someone you trusted has stolen from you is a nightmare. Kristi Margaret Berge did just that through her firm, Keep Safe Investments. This blog will tell you how she stole and the harsh effects it had on her clients. Read on to learn more. Key Takeaways Details of the Theft Kristi Margaret Berge […]
Kristi Margaret Berge Guilty Of Stealing From Clients Read More »
In a recent development that has sent shockwaves through the investment community, a serious allegation has been leveled against Thomas Rindahl, a broker and investment advisor associated with Securities America, Inc. (CRD 10205). According to the complaint filed on February 28, 2024, a customer has alleged that an investment made in 2014, under the guidance
Serious Allegation Hits Thomas Rindahl at Securities America, Inc. Read More »
Two brokers, Michael S. Barrows and Eric J. Ludovico, face suspension for not paying a $1.03 million award related to selling GWG Holdings L-Bonds. A judge in California stopped their licenses from being suspended until December 9, 2024. They sold investments that didn’t fit well in October 2023 and got into big trouble for it
Michael Barrows And Eric Ludovico Suspended Due To GWG Holdings Sales Read More »
Jack Thacker, a broker and investment advisor associated with Realta Equities, Inc. (CRD 23769), is facing a serious customer dispute allegation filed on February 28, 2024. The claimants allege that Thacker made unsuitable investments and failed to conduct reasonable due diligence on alternative investments. This pending case has significant implications for investors who have entrusted
Jack Thacker of Realta Equities Faces Critical Customer Dispute Allegation Read More »
Financial watchdog FINRA has taken action against Chris S. Stocks. On December 5, 2024, FINRA fined Stocks $10,000 and suspended him for 30 days. This penalty came after Stocks failed to disclose his involvement in hotel operations. In January 2017, Stocks created four companies to buy and run a hotel without telling his employer, Morgan
Chris S. Stocks Suspended And Fined By FINRA: Disciplinary Actions Unveiled Read More »