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Current Investigations

Blog, 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...

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Blog, Current Investigations, Securities Fraud

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...

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Blog, Current Investigations

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...

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Blog, Current Investigations, Securities Fraud

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...

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Blog, Current Investigations, Securities Fraud

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...

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Blog, Current Investigations, Securities Fraud

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...

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