GK Investment Holdings has issued a warning to investors in it’s “7% Bonds” that if 90% of the investors do not exchange their current bonds[...]
Investment Loss Investigations
The SEC has accused Jason D. Lazarus, Esq. and Anthony F. Prieto, Jr. – CEO and President of Synergy Settlement Services, respectively – of fraudulently[...]
Sonn Law Group is representing customers of Emerson Equity and Newbridge Securities in the wake of the bankruptcy of GWG Holdings. We have heard from[...]
Global VIP and Global Advantage Select Were Unsuitable For Claimants Two older investors from Venezuela have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim[...]
Did your financial advisor sell you any of the below-listed high yield bond funds as a “conservative” or “moderate” risk investment? If so, you may[...]
INVESTORS: The SEC charged Richard Dow Rockwell and his investment firm for their roles in selling securities that defrauded investors. The SEC charged Richard Dow[...]
INVESTORS: The SEC obtained a default judgment against former broker and investment adviser for defrauding at least ten investors out of at least $458,000. On[...]
INVESTORS: The SEC charged a former New Jersey broker and investment adviser with misappropriating at least $680,000 from clients. On March 14, 2022, the SEC[...]
INVESTORS: FINRA censured and fined Colorado-based broker-dealer Geneos Wealth Management for alleged failures in supervising its registered representatives’ recommendations. FINRA censured and fined a Colorado-based[...]
INVESTORS: The Kentucky Teachers’ Retirements System sold off its direct investment in a Russian bank the day before Russia invaded Ukraine, losing more than $3M.[...]