arkk losses

Investor Sues Cetera Advisor Over ARK Innovation Exchange-Traded Fund (ARKK) Losses

The ARK Innovation Exchange-Traded Fund (ARKK), a complex, structured note offering, is at the center of a brewing storm of possible unsuitable sales. The ETF has significantly underperformed the broad market and has lost over 66% of its value at the start of the year. Its volatility and riskiness have been borne out by its […]

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Bradley Goodbread Accused of $1.3M Fraud Against Senior Investor- Elder Financial Abuse

Bradley Goodbread Accused of $1.3M Fraud Against Senior Investor – Elder Financial Abuse

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

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Aegis Capital

Aegis Capital Corp Fined $2.8M For Excessive Trading and Unsuitability

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

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