Financial Advisor Fraud

SagePoint Financial Complaints: Grant Christopher Birkley

SagePoint Financial Complaints: Grant Christopher Birkley

SagePoint Financial fired its stockbroker Grant Christopher Birkley last August when he admitted to acting without the approval of the broker-dealer and making referrals to an external manager. This admission is tantamount to Birkley’s “selling away.” SagePoint Financial Background Sagepoint Financial was established in 1970 as a Broker-dealer engaged in stock sale. In 2005 the […]

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SEC Alleges John Woods (Southport Capital) Ran "Horizon Private Equity" As A Massive Ponzi Scheme

SEC Alleges John Woods (Southport Capital) Ran “Horizon Private Equity” As A Massive Ponzi Scheme

The Securities Exchange Commission (SEC) claims Horizon Private Equity, III, is a “massive Ponzi scheme” and that investors owe $110M principal as of July 2021. John J. Woods. Woods worked at Southport Capital which is a d/b/a for Livingston Group Asset Management Company.  It is estimated that over 400 investors have lost money. If you or someone you know invested with John

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4 Complaints Filed Against Kevin Houser (Ameriprise Financial)

4 Complaints Filed Against Kevin Houser (Ameriprise Financial) For $1.6 Million

Center Valley, Pennsylvania-based Kevin Houser, a financial advisor with Ameriprise Financial Services, has been named in four separate customer disputes that are pending resolution. These disputes are over alternative investments recommended by him and are understood to be of substantial value. Haselkorn & Thibaut, P.A., is currently investigating Kevin Houser.  Clients and anyone having information

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