Registered investment advisor (RIA) Aventura Capital Management is in the crosshairs of the Securities and Exchange Commission (SEC)Â for conflict of interest related to its mutual fund share class selection and 12b-1 fees. Haselkorn & Thibaut has opened an investigation into Aventura Capital Managment. Please call us today at 1-888-885-7162 or use our contact form; one […]
Aventura Capital Management Fined $940K By SEC Read More »
It has been determined by the arbitrators in a FINRA (Financial Industry Regulatory Authority) arbitration case that Wells Fargo, along with a former financial adviser Gregory Pease, are guilty of churning in a customer’s account and must pay $731,587 as compensation. The Claim The claim was filed by Edward A., the chief executive of Owens
The 30-year bonds issued by Bed Bath & Beyond (BBB) in 2014 have plunged to a low of almost 15 cents to the dollar recently, with some trades breaching the 15-cent mark as well. The $675 million issue, at a coupon rate of 5.165%, has been sliding steeply over the last few days, after a
Did Your Advisor Recommend Bed Bath & Beyond Bonds or Stock? Read More »
Formerly registered with Morgan Stanley, Wilmington, North Carolina-based financial advisor Shawn Good has been accused of operating a $4.8 million Ponzi scheme by the Securities and Exchange Commission (SEC). According to reported news, he faces two charges of felony. A federal judge in North Carolina has barred him from selling securities, based on the permanent
Morgan Stanley Advisor Shawn Good to Forfeit $3.2M, 2 Houses, for Ponzi Scheme Fraud Read More »
As an outcome of a settlement apparently reached by financial advisor Daniel T. Minich with the Financial Industry Regulatory Authority (FINRA), he has been suspended and will not be able to associate with any member of the self-regulatory organization (SRO) for a period of 4 months. This is based on information available in the public
Ameriprise Financial Advisor Daniel Minich Suspended by FINRA for Selling Away Read More »