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Current Investigations
Aegis Broker Alan Z. Appelbaum Barred after Allegations of Unsuitable Structured Products Sales
FINRA Reportedly Bars Alan Appelbaum, of Aegis, after SEC charges him with Unsuitable, Unauthorized Trades According to a Letter of...
Ex-Morgan Stanley Advisor Shawn Good Allegedly Defrauded Investors out of $7 Million
Advisor Shawn Good of Wilmington, NC Reportedly Pleads Guilty to Fraud Scheme, Faces 30 Years in Prison A former financial advisor in...
American Healthcare REIT files S-11, Possible Listing on NYSE
American Healthcare REIT Inc. Potential Liquidation Are you concerned about your investment American Healthcare REIT, Inc (formerly known...
Jeffrey Basford, David Lerner Associates, Barred after Allegations of Unsuitable Investments
David Lerner Advisor Jeffrey Basford Allegedly sold Unsuitable Energy Investments to Clients According to the Financial Industry...
MML Advisor Amanda Berry Allegedly Misappropriated Client Funds
MML Investor Services Advisor Amanda Berry of Oklahoma City Reportedly barred after Allegations of Investment Fraud According to an...
SEC Bars Arthur Hoffman after Allegations of Fraudulent Crypto Scheme
Art Hoffman, of Ameriprise Financial, Allegedly Defrauded Clients in connection with Zima Digital Assets The Securities and Exchange...
