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Month: August 2021

Blog, Current Investigations

Cetera, Cambridge, KMS Sanctioned for Cybersecurity Issues

SEC Sanctions Eight Broker Dealers/RIAs for Deficient Cybersecurity Protection   According to the Securities and Exchange Commission on...

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Blog, Current Investigations

Horizon Private Equity III Investors Lawsuits – SEC Charges Southport with $110 Million Ponzi Scheme 

SEC charges Southport Capital with Ponzi Scheme through Horizon Private Equity Fund III LLC   According to The Securities and...

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Blog, Current Investigations

Robert Lax Barred from the Securities Industry 

FINRA Bars Advisor Robert Lax in Connection with Outside Business Activities  The Financial Industry Regulatory Authority (FINRA) has...

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Blog, Current Investigations

Hospitality Investors Trust Inc. (HIT REIT) Files Chapter 11 Bankruptcy

Hospitality Investors Trust, Inc. (HIT REIT) 2021 Lawsuit *UPDATED* Did your broker recommend an investment in Hospitality Investors Trust...

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Blog, Current Investigations

NYLife Broker Felix Chu Barred from Securities Industry  

FINRA Bars NYLife Broker Felix Chu after Alleged Promissory Note Scheme   According to the Financial Industry Regulatory Authority...

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Blog, Current Investigations

Deeproot Funds LLC Charged with $58 Million Fraud 

SEC charged Advisor, Deeproot Funds and Policy Services Inc. With Defrauding 300 Investors  According to The Securities and Exchange...

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