GWG Holdings Gets New Bankruptcy Judge After Romance Scandal Shakes Court shows just how much one case can change a courtroom. This story starts with GWG Holdings filing for Chapter 11 bankruptcy on April 20, 2022, in Texas. The case number is 4:22-bk-90032 and it has been ongoing for nearly four years. As investors, we […]
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Investors depend on brokerage firms to follow strict rules designed to protect the public—especially rules requiring firms to supervise broker communications and preserve business records. When those safeguards fail, investors can be left exposed to unsuitable recommendations, undisclosed risks, unauthorized activity, and disputes where critical evidence is missing. A recent FINRA enforcement action involving Benjamin
The recent exit of Ashford Securities from the financial industry is a stark reminder of the risks inherent in the nontraded REIT sector and the regulatory failures that can leave investors vulnerable. Ashford Securities, a Dallas-based broker-dealer led by CEO Carl Steigerwald, officially filed its notice of termination with FINRA on January 29, 2026. This
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NorthStar Healthcare Income, Inc. was a real estate investment trust, or REIT, that owned senior housing communities across the United States. A REIT is a company that owns and often operates income-producing real estate. NorthStar Healthcare attracted many investors with an initial offering price of $10 per share. Over time, its value fell sharply. On
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FINRA Says Sutter Securities Ignored Red Flags About Overseas Biz has become a big topic in the investing world. This case centers on the Financial Industry Regulatory Authority, or FINRA, which regulates brokers and securities firms. FINRA accused Sutter Securities Inc. and Boustead Securities LLC of ignoring red flags in underwriting deals for foreign clients
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