Investment fraud is far too common as many investors blame themselves for losses and don’t know they can recover their investment losses.
Registered investment advisor (RIA) Aventura Capital Management is in the crosshairs of the Securities and Exchange Commission (SEC) 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 1-800-856-3352 or use our contact form; one […]
Aventura Capital Management Fined $940K By SEC Read More »
Woodbridge Wealth has been the subject of an SEC investigation since 2016. Allegations against the company include unregistered brokers and securities. The SEC sought documents from the company in 2016, but Woodbridge failed to meet the deadline. In response, the SEC issued a subpoena, which the company has yet to comply with in full. A
An Overview of the SEC Investigation Into Woodbridge Wealth Read More »
Recently a civil suit has been filed by the Securities and Exchange Commission (SEC) against Western International Securities (WIS) about GWG L Bond Sales. A number of broker-dealer’s registered representatives are also named in the suit that alleges violation of the Regulation Best Interest (Reg BI) standards. Specifically, the lawsuit references GWG L Bonds worth $13.3
A FINRA arbitration claim (similar to a lawsuit) has been filed under the process made available by the Financial Industry Regulatory Authority (FINRA) for such cases. The claim filed by a couple in Ozark, Missouri who is in their nineties and eighties is against Center Street Securities and names one of their brokers, Joseph LaTour,
Steven Graham, Thomas Swan, Nancy Cole, Patrick Egan, and Andy Gitipityapon, all registered representatives of Western International Securities (WIS), a registered broker-dealer, have been charged for their violation of Regulation Best Interest (Reg BI) by the Securities and Exchange Commission (SEC). The broker-dealer has also been charged. The charge relates to their recommendation and sales