Triad Advisors, an Advisor Group network brokerage firm, has been asked by the Financial Industry Regulatory Authority (FINRA) to pay a fine of $150K for supervisory failures pertaining to short-term trades involving Class A shares of mutual funds and variable annuity exchanges, in addition to repayment of $44K to customers financially affected by their failures. …
At $15.75, the NAV of Healthcare Trust Inc. (HTI) as of 31st December 2019 announced by its board of directors, and as per filings with the Securities and Exchange Commission (SEC), represented a 10% decline over the NAV of $17.50 exactly a year earlier. While HTI has not provided any explanation for the decline, according …
Last Thursday GBP Capital Holdings and three individuals were charged by the Securities Exchange Commission (SEC) with fraud and running a $1.6 billion Ponzi scheme. Jeffrey Schneider, GPB’s placement agent Ascendant Capital, David Gentile, and Jeffrey Lash, both executives of GPB, have been charged with wire fraud, securities fraud, and conspiracy against 17,000 investors. For …
Steven Robert Luftschein (also known as Steven Lerner), formerly an advisor with Aegis Capital Corp., has reportedly been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). This is on the back of allegations against him of excessive trading and churning in accounts of three different clients. About Steven LuftscheinContents1 About Steven …
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Did you suffer investment losses after working with Jack Quick a/k/a Jack Alan Quick, a former broker and financial advisor registered with the Financial Industry Regulatory Authority (FINRA) through the New Hope, Minnesota branch of Ameriprise Financial Services, Inc. (Ameriprise) If so, the attorneys of Investment Loss Recovery Group want to help you. We are …
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