The removal of several NASAA protections for shareholders has been sought by Lightstone Value Plus REIT I, Inc., Lightstone Value Plus REIT II, Inc., and Lightstone Value Plus REIT III, Inc. in a series of proxy proposals for shareholders drawn up by them. Haselkorn & Thibaut currently represent REIT investors that lost substantial funds due […]
Lightstone REIT Shareholder Rights Under Fire Read More »
Charges have recently been filed by the Securities and Exchange Commission (SEC) against Chicago-based broker Bradley Allen Goodbread, earlier associated with LPL Financial. Goodbread is accused of defrauding a senior client with dementia out of $1.3 million. Sadly elder financial abuse is growing. Elder financial abuse can occur when an adult misappropriates or uses an
Established in 1984, Aegis Capital Corporation is a comprehensive retail and institutional broker-dealer headquartered in New York. They provide a broad spectrum of investment products and services as brokers and advisors. The firm recently faced sanctions from the Financial Industry Regulatory Authority (FINRA), triggered both by a client’s complaint of churning and a subsequent internal
Aegis Capital Corp Fined $2.8M For Excessive Trading and Unsuitability Read More »
The FINRA has permanently barred James Blake Daughtry from broker activities after he was found to have committed multiple securities law violations. Daughtry was first sanctioned by the INRA in 2016 when he was suspended from acting as a broker for a period of six months. Dotham, Alabama based financial advisor (FA) James Blake Daughtry,
FINRA Bars James Blake Daughtry After Securities Law Violations Read More »
Our law firm is getting calls from people that invested in Sierra Income Corporation, a non-traded business development company (BDC). In 2019 there was a merger with Medley Capital, income, but for original investors who paid at or near $10.00/share for Sierra Income, there are currently significant investment losses to consider. Unfortunately, Sierra Income Corp
Sierra Income Corporation Losses Continue For Investors (Medley Capital) Read More »