Current Investigations
Herbert J Sims & Co. to Pay $250,000 for Structured Products
SEC censures and fines Herbert J Sims and Co., Boca Raton, FL According to an SEC order on July 30, the regulator has initiated a cease and...
Prospect Flexible Income Fund Inc. BDC Securities Investigation
Investigating Potential Claims involving Prospect Flexible Income Fund Inc. The White Law Group is investigating potential securities...
Owl Rock Capital Corp. II BDC, Illiquid Investment
Investigating Potential Claims involving Owl Rock Capital Corp. II The White Law Group is investigating potential securities claims...
Barred Broker Dana Vietor has 3 New Customer Complaints
FINRA bars Former CFD Advisor Dana Vietor after Allegations of Unapproved Securities Sales On March 23, 2020, The Financial Industry...
Parking REIT Executive Allegedly Charged with Defrauding Investors
SEC Charges Real Estate Executive With Defrauding Vestin REIT Investors According to the Securities and Exchange Commission on July 30, the...
Bluerock Growth Fund II LLC Securities Investigation
Concerned about your investment in Bluerock Growth Fund II LLC? Are you concerned about your investment in Bluerock Growth Fund II LLC?...
