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• Dennis Haywood II Allegedly made Unsuitable Investments  
• DMK Advisor Group, Inc. Fined by Securities Regulators 
• Axos Invest LLC Fined by Securities Regulators  
• American Wealth Management Inc. Censured and Fined
• Beware of Dual Registrants Moving Securities to Drive up Fees 
• William King Reportedly Resigns with 18 Complaints  
• CFP Board Sanctions 2023  
• MML Investors Services LLC Overview 
• Securian Financial Services Overview
• Vinebrook Homes Trust, Inc. Securities Investigation
• HSBC and Scotiabank Fined for Recordkeeping Violations 
• Merrill Lynch Sanctioned for Cold Calling Violations 
• Classic Asset Management LLC Fined for Leveraged ETFs 
• Silver Star Properties REIT New CEO Resigns  
• Stifel Nicolaus & Company to Pay $3.2 Million 
• Stifel Nicolaus & Co. Overview
• Tyler Rigsbee, Wells Fargo Broker, Sentenced for Fraud Scheme 
• Wells Fargo Clearing Services Lawsuit 
• Damian Baird Suspended from the Securities Industry 
• Top Investment Fraud Scams in 2023 
• Peakstone NYSE Listing Disappoints Shareholders
• Regal Securities Inc. Censured and Fined 
• Michael Raineri Barred from Securities Industry  
• Vornado Realty Trust (NYSE: VNO) Suspends Dividends  
• NYLife Broker Marcus Moon Charged with Misrepresentation  
• O.N. Equity Sales Company Overview  
• RBC Capital Markets Pays $300,000 plus Restitution  
• Surage Roshan Perera Allegedly Stole $4 Million from Investor 
• Equitable Advisors (AXA Advisors) Overview
• TriplePoint Venture Growth BDC (TPVG) – Declining NAV  
• Grove Point Investments (H. Beck) Overview
• Geneos Wealth Management Overview 
• Prospera Financial Services Inc. Overview
• Vanderbilt Securities Overview
• SA Stone Wealth Management (Sterne Agee Financial) Overview
• Rashawn Russell, Deutsch Bank Rep Arrested for Crypto Fraud 
• B. Riley Wealth Management Lawsuit
• Commonwealth Financial Network, Inc. Overview   
• JW Cole Financial Inc. Overview
• LaSalle St. Securities Complaints and Regulatory Actions 
• Icahn Enterprises L.P. – Securities Investigation
• Brokerage Firm Best Execution Requirements
• Arete Wealth Management Complaints and Regulatory Actions  
• William Winchester III Barred from the Securities Industry  
• Daniel Mackle Sr. Barred by Securities Regulators
• Steve Allen Moise Barred by Securities Regulators 
• Kestra Investment Services Overview
• Hornor, Townsend & Kent LLC Overview 
• CFD Investments Complaints and Regulatory Actions
• Berthel, Fisher and Company Complaints and Regulatory Actions
• Packerland Brokerage Complaints and Regulatory Actions  
• Dana Davis, Newbridge Broker, Suspended for 12 Months 
• Patrick Thayer Barred by Securities Regulator 
• Fortune Financial Complaints and Regulatory Actions  
• Brian Wurdemann Barred by Securities Regulator
• Jay Jaroensabphayanont Barred after Allegations
• Kovack Securities Inc. Overview
• Moors & Cabot Inc. Overview
• Broker Due Diligence
• FINRA AWC – Settlement Agreement
• FINRA RULE 3110 (SUPERVISION)
• FINRA Rule 4512 Customer Account Information 
• SBNY Autocallable Notes from UBS – Securities Investigation 
• Newbridge Securities Customer Complaints & Regulatory Actions
• Concourse Financial Group (Proequities Inc.) Overview
• Signature Bank Autocallable Notes – Investment Losses 
• FINRA Rule 2090 Know your Customer 
• Investor Alert: Morgan Stanley Structured Notes Signature Bank
• SEC Alleges Darryl Matthew Cohen Stole $1 Million from Clients 
• FINRA Rule 3270 Outside Business Activities 
• Annuity Investment Fraud 
• Discretionary Accounts
• FINRA Rule 2010 
• What is a Broker CRD Number? 
• 1050 OZ A LLC – Securities Investigation  
• iCap Equity Suspends Distributions Indefinitely 
• Credit Suisse 7.500% Perpetual Corp. AT1 Bonds Write-off 
• ShiftPixy Inc. – Securities Investigation 
• Lincoln Financial Advisors Lawsuits
• FS Energy & Power Fund (FSEP) Lawsuits Investigation
• David Shane Simmons, Lincoln Financial Advisor, Barred 
• Riot Blockchain Inc. – Securities Investigation  
• Webull Financial Censured and Fined $3 Million 
• CNL Healthcare Properties Inc. – Third Party Tender Offer
• Center Street Securities Overview
• JPMorgan Chase Linked to SPDR® S&P® Regional Banking ETF
• Barclays Notes Linked to SPDR® S&P® Regional Banking ETF  
• Tesaro Inc. – Securities Investigation  
• Kevin Hobbs Barred after Allegations of Selling Away  
• Madison Avenue Securities Overview
• Parkland Securities Complaints and Regulatory Actions   
• Goldman Sachs Notes Linked to SPDR® S&P® Regional Banking
• Investor Alert: Arcimoto Inc.
• Myomo Inc. Securities Investigation  
• Are Structured Notes Worth the Risk?
• Park Row 23 Fund LLC Securities Investigation 
• Pacific Oak Strategic Opportunity REIT – Securities Investigation
• Sorrento Therapeutics Inc. Files Chapter 11 Bankruptcy 
• First Allied Complaints
• Lucira Health Inc. Files Chapter 11 Bankruptcy 
• Griffin Realty Trust Plans Spin-off, Liquidation as NAV Declines
• Antoine Souma Barred after Allegations of Selling Away 
• Social Media Apps & Investment Fraud Schemes 
• Laidlaw & Company LTD Fined $200,000 
• What is FINRA? The Financial Industry Regulatory Authority
• Can I Sue my Financial Advisor? 
• Gain Elimination Plan (GEP) Fraud Scheme
• Solicited Trades versus Unsolicited Trades 
• Paul R. McGonigle Pleads Guilty to Defrauding Clients 
• Chicago Advisor David S. Wells Allegedly Defrauded Clients  
• KBS Growth & Income REIT Liquidation 
• Prospect BDC Warns of Possible Default 
• Accredited Investor Rule 
• FINRA Sanctions Fortune Financial for VA Sales
• Algorithm Sciences Inc. – Private Placement Investigation 
• What is FINRA Rule 3210 – Rule 407 Letter?
• What Does a Securities Attorney Do?
• Eleven Biotherapeutics Inc. – Private Placement Investigation 
• Rosenblatt Securities Fined for Private Placement Sales 
• FINRA BrokerCheck to Flag “Restricted Firms”
• FINRA ups its Game with Reg BI Enforcement 
• Investor Alert: MEI Pharma Inc. 
• InPoint Commercial Suspends Redemptions
• Mario Rivero Jr. Reportedly Pleads Guilty to Fraud
• Nathaniel Clay Barred after Allegations of Excessive Trades 
• FINRA “Statute of Limitations”  
• FINRA Rule 12206 Eligibility
• Investor Alert: Mackenzie REIT Inc.  
• Strategic Student & Senior Housing Trust, Inc. Valuation Update
• Caz Craffy Barred after Allegations of OBAs 
• Financial Advisors still Hot for Crypto Investing 
• Robert Turner Barred after Allegations of Million-dollar Fraud
• SEC Investigating RIAs over Crypto-Asset Custody 
• Ausdal Financial Partners Complaints 
• Metropolis Technologies Inc. – Private Placement Investigation
• FINRA Sanctions 3 Firms for 529 Overcharges 
• Anthony “Tony” Liddle Allegedly Defrauded 13 Advisory Clients  
• J.P. Turner and Company Lawsuits 
• Advisor Scott Fries Scheduled for Sentencing
• Paulson Investment Co. Sanctioned for Unsuitable Investments 
• KKR Real Estate Select Trust Limits Redemptions 
• KBS REIT III Suspends “Ordinary Redemptions”
• McDermott Investment Services Lawsuit
• Are Non-Traded REITs a Safe Bet?
• SEC has Record year for Enforcement Actions in 2022
• Newlight Technologies Inc. – Private Placement Investigation 
• Skydweller Aero Inc.: Securities Investigation
• Bloom Inc.: Securities Investigation  
• Deep Labs Inc.: Securities Investigation  
• Center Street Securities Fined for GPB Sales  
• Moloney Securities Co. Sanctioned for GPB Sales 
• Four Springs Capital Trust Withdraws Registration Statement
• Conrad Coggeshall Allegedly Defrauded Elderly Investors 
• John Terzis, LPL Advisor, Barred from Securities Industry 
• Securities Investigation: CPA Franklin Industrial DST  
• Hartman XX Changes Name to Silver Star Properties REIT  
• Desiderio Torrez Reportedly Barred for Selling Away 
• LPL Broker John Matson Barred from Securities Industry 
• Gary Chang Barred after Allegations of Misappropriation 
• Detroit Hospitality DST – Investigating Potential Claims 
• Investor Alert: Inspired Healthcare Capital Income Fund
• Former Advisor Gautam Arora Allegedly Defrauded Investors 
• Wausau Broker Tony Liddle & Prosper Wealth Update 
• Securities Investigation: West Marshall Investors LLC 
• Necessity Retail REIT (formerly AFIN) Proxy War Continues 
•  Virtua Alpharetta Northpoint Holdings, Securities Investigation 
• Investor Alert: GK Secured Income V LLC  
• Investor Alert: Cove Atlanta Medical DST 
• Virtua Manistee Holdings Opportunity Fund – Investigation
• Investor Alert: Niagara Plus Income Fund LP  
• Non-traded REITs “Liquidity Issue”
• Cove Omaha DST Securities Investigation 
• Investor Alert: Virtua High Growth Fund II LLC
• Securities Investigation: Virtua Income Fund North America I LLC
• LPL Financial Sanctioned for Failure to Supervise 
• Ex-LPL Advisor Brad Goodbred Arrested for Theft 
• Virtua Hospitality Opportunity Zone Fund I LLC 
• Starwood Real Estate Income Trust Limits Redemptions
• Global Net Lease (GNL) Proxy War Continues 
• Four more Firms Sanctioned for Unsuitable GPB Offerings 
• Blackstone REIT (BREIT) Limits Redemptions
• FFEC Wealth Partners Allegedly Failed to Supervise Margin use
• FINRA Hits Morgan Stanley for High-Risk Investments
• Corbin Lambert Barred by the SEC 
• Vineyard Austin DST, Securities Investigation  
• Investor Alert: Shadow Retail Partners LP  
• Hugh O. Barndollar III, Crown Capital, Allegedly “Sold Away” from Firm 
•  Hartman vREIT XXI “Going Concern” Alert 
• The Trouble with Private Placements Under Regulation D
• Ex-JP Morgan Broker Edward Turley Barred from Securities Industry
• GWG Holdings Executives Resign following Internal Review 
• MCMP Fuels Trading II LLC, Securities Investigation 
• Infinity Q Alpha Mutual Fund Settles Charges
• Wildermuth Fund Loses Qualification as a Regulated Investment Company
• Priority Income Fund, Inc. Changes “Liquidity Strategy” 
• G & P Acquisition Corp Delisted for “Abnormally Low” Price Levels  
• FINRA Sanctions Wedbush Securities for Regulatory Failures 
• Western International Allegedly Failed to Supervise REIT Sales
• Triad Advisors LLC Overview
• CIM Real Estate Finance Trust Tender Offer Price well below NAV
• New Haven Broker John Anthony Sommo Barred from Securities Industry  
• StHealth Capital Investment Corp. Liquidation for Investors 
• Inland Real Estate Income Trust Inc.Tender Offer
• Lightstone Value Plus REIT III | Securities Attorneys for Investment Losses
• Medical Properties Trust Inc. (MPW) Declines more than 50% 
• Ex-MML Advisor Adam Belardino Pleads Guilty to Stealing from Client 
• Cetera to pay $7 Million for Allegedly Defrauding Advisory Clients 
• West Lafayette, Indiana Securities Fraud / Broker Fraud Attorney
• Lightstone REITs Amendments Eliminate Protections for Shareholders  
• Unsuitable Investment Lawyer  
• Springfield, Illinois | Securities Fraud Lawyer | Broker Fraud Attorney 
• Raymond James Sanctioned for Failure to Supervise 
• Fidelity Series 5+ Year Inflation-Protected Bond Index (FSTDX)
• Financial Advisor Mitchell Biernick allegedly sold Unsuitable Investments 
• Emerson Equity Sues Insurers as GWG Investor Claims Roll in 
• Stephen R Swensen Allegedly Defrauded Investors of $29 Million
• iShares JP Morgan USD Emerging Markets Bond ETF (EMB)
• IShares 20+ Year Treasury Bond ETF (TLT) Securities Investigation 
• Pacer Trendpilot US Bond ETF (PTBD): Worst Performing
• FlexShares Crdt-Scrd US Lng Corp Bd ETF (LKOR) 
• Worst Performing: IShares Fallen Angels USD Bond ETF (FALN)  
• Worst Performing: VanEck Fallen Angel High Yield Bond ETF
• Securities Investigation: Allied Integral United, Inc.  
• Rockford, Illinois | Broker Fraud Attorneys | Securities Fraud Lawyers  
• Antler Capital Global Opportunity Fund Ltd
• Securities Investigation: Brynes Capital LLC 
• Securities Investigation: Adit Growth Equity Co-Invest LLC 
• Securities Investigation: FC Global Realty Inc.
• Investor Alert: Innovation Lofts & Indigo Hotel LLC 
• AIU Alternative Care Oz Fund LP Securities Investigation 
• Western Asset Macro Opportunities I (LAOIX) Securities Investigation 
• ATAC Credit Rotation ETF (JOJO) Worst High Yield ETFs of 2022 
• KBS Growth & Income REIT may be Forced to Liquidate 
• Investor Alert: Wasatch-Hoisington US Treasury (WHOSX)  
• iShares International High Yield Bond ETF (HYXU)
• Investor Alert: Western Asset SMASh Series Cr Cmpltn (WAADX)  
• Investor Alert: PIMCO Extended Duration Instl (PEDIX)  
• Vanguard Extended Duration Trs Idx Instl (VEDTX) Securities Investigation 
• The White Law Group Files a Lawsuit against Arete Wealth
• Securities Investigation: IShares 25+ Year Treasury STRIPS Bd ETF (GOVZ)
• PIMCO 25+ Year Zero Coupon US Trs ETF (ZROZ) Securities Investigation 
• PIMCO Long-Term Credit Bond Instl (PTCIX)
• Champaign, Illinois | Broker Fraud Lawyer| Securities Fraud Attorney
• FINRA warns Firms about Fraudulent Transfer of Accounts
• Raymond James to pay $500K for Failure to Supervise
•  Ex-Edward Jones Advisor Ronald Molo to pay $800K after Fraud Allegations 
• Naperville, Illinois | Broker Fraud Attorney | Securities Fraud Lawyer 
• Peoria, Illinois | Securities Fraud Attorney | Stockbroker Fraud Lawyer 
• FINRA Arbitration Attorney for Resolving Securities Disputes
• Harvest Collateral Yield Enhancement Strategy (CYES)  
• Investigating Securities Claims involving Clearvoice Inc.   
• FINRA Fines Barclays Capital Inc. $2 Million
• FINRA Fines UBS Securities $2.5 Million for Reg SHO Violations 
• Healthcare Trust Inc. – HTI – Shareholder Lawsuits
• Lion Street Financial and Triad Advisors Lawsuit Filed Today
• GWG Holdings * GWG L Bonds * Investor Lawsuits for Recovery
• Investor Alert: Mobile Infrastructure Corp. Plans IPO “BEEP”
• Bradley Goodbred allegedly stole $1.2 M from Elderly Client  
• Richard M. Crabtree Allegedly Defrauded Client 
• SEC Cracks down on 16 Wall Street Firms
• Investor Alert: Empire Village at Schnepf Farms LLC
• Red Oak Income Opportunity Fund LLC: Securities Investigation  
• Madison, Wisconsin Securities Fraud Lawyer
• Securities Investigation: Lookhu Inc.
• Investor Alert: FTE Networks Inc. (FTNW) 
• Aegis Broker Alan Z. Appelbaum Barred after Allegations
• Jaguar Health Inc. (JAGX): Securities Investigation 
• Blink Charging Company (BLNK): Securities Investigation 
• Investor Alert: ReShape Lifesciences Inc. (RSLS)
• Securities Investigation: Arrowhead Pharmaceuticals Inc. 
• SignPath Pharma, Inc. Securities Investigation 
• UQM Technologies, Inc. Securities Investigation 
• FINRA Sanctions IBN Financial Services for Supervisory Failures 
• SEC Charges Four Firms with Municipal Bond Disclosure Failures 
• Reverse Churning: When your Broker Collects a Fee for doing Nothing 
• Hines Sentio Senior Living Opportunity Fund LP: Securities Investigation 
• Waddell & Reed to Pay $776K Over ‘Reverse Churning’ Charges  
• Concerned about your investment in Uptown Newport Development Co. LLC? 
• Morgan Stanley to pay $35M to Settle SEC Charges over Customer Information 
• Securities Investigation: Pacific West Home Mortgage II LLC 
• Securities Investigation: T2 Strategic Real Estate Income Fund LLC 
• Secured Income Group and Owner Charged with $100 Million Offering Fraud 
• Shawn Good Allegedly Defrauded Investors out of $7 Million 
• American Healthcare REIT files S-11, Possible Listing on NYSE  
• Securities Investigation: JAM Partners LP 
• Penn Square IV U.S. Real Estate Fund LP, Investigating Potential Claims 
• Jeffrey Basford, David Lerner Associates, Barred after Allegations
• MML Advisor Amanda Berry Allegedly Misappropriated Client Funds  
• SEC Bars Arthur Hoffman after Allegations of Fraudulent Crypto Scheme
• Ex-LPL Advisor James Couture Pleads Guilty
• SEC Investigating Lodging Fund REIT III – Shareholders may have claims  
• FS Global Credit Opportunities Fund to List Shares under “FSCO” 
• FINRA Fines Bank of America Securities $5M for Reporting Failures 
• Ronald Coy Bailey, NY Life Advisor, Allegedly sold Private Securities  
• FINRA Fines Sagepoint Financial, Inc. For Suitability Issues 
• Crowne Maybank Holdings LP, Investigating Potential Claims 
• Canaccord Genuity Wealth Censured and Fined $200,000 for Private Placement Sales 
• LOF Lincoln LLC, Investigating Potential Claims 
• Concerned about your investment in Ashburn Creek Fault LP? 
• Securities Investigation involving MH Ventures 2019-1 LLC  
• Investor Alert: Cottonwood Richmond at Millcreek  
• Securities Investigation: AEI Net Lease Portfolio 14 DST  
• Investigating Potential Claims involving BR DeSota DST 
• Heritage – Bedford NH DST – Investigating Potential Claims 
• The Dominion – Conroe, TX DST – Investigating Potential Claims 
• Joseph Stone Allegedly Failed to Supervise Excessive Trades
• CFP Board Reportedly Sanctions Advisor Roderick L. Whited after FINRA Bar  
• CFP Board Reportedly Sanctions Advisor Mark Trewitt
• CFP Board Reportedly Sanctions Advisor Christopher Turean
• Ameriprise Advisor Dusty Sternadel Allegedly Misappropriated Client Funds  
• Perceptive Advisors Charged with SPAC-Related Conflicts of Interest 
• FINRA Sanctions Sanctuary Securities for Unsuitable GPB Sales    
• The White Law Group files another Lawsuit against Centaurus Financial 
• Francisco Valenzuela Allegedly Sold Unsuitable Bonds
• Mark Cline Allegedly Recommended GWG L Bonds
• SEC Charges A.G. Morgan Financial Advisors, Two Execs with Fraud  
• SEC Action: Broadway Strategic Return Fund LP 
• Ex-Alliance Global Advisor Michael Shillin Sentenced to 7 Years Prison 
• Help for Investors: CitiFirst Buffer Securities
• CitiFirst Dual Directional CoBA Notes
• Investor Alert: CitiFirst CoBa Structured Notes
• Citigroup Notes Linked to UnitedHealth
• Citigroup Enhanced Barrier Digital Plus Securities
• Citigroup Structured notes Linked to Facebook
• CitiGroup Quanto (CoBa) Worst Performing EURO STOXX 50
• Coupon Barrier Autocall Notes (CoBa) Investigation
• Kovack Securities Sanctioned for Mutual Fund Trading 
• Broker Byron Martinsen, Centaurus, Suspended after Allegations
• James Dunn Jr. Barred after Allegations of Misconduct 
• FINRA Sanctions Capital Investment Group Inc. for Unsuitable GPB Sales    
• MLS Fined for Failure to Supervise Broker Charles Evan
• The White Law Group Files Lawsuit against Essex and Infinex
• Investor Alert: Citigroup’s Structures Notes Linked NVIDIA Corp. 
• David Lerner’s Energy 11 LP has $45M in Unpaid Distributions 
• Securities Investigation: Citigroup’s Structured Notes
• Citigroup Notes Linked to Worst Performing of Alphabet Inc., Amazon.com
• Citigroup Notes,Worst Performing of Amazon, JPMorgan
• Versus Systems Inc., Investigating Potential Claims 
• Investor Alert: Fire Cannabis Inc.  
• SEC Sues Bellatorum Resources and Owner for $31 Million Fraud  
• Northstar Financial Services (Bermuda) LTD, Update on the Investigation  
• Axiom Capital Management Inc. Censured and Fined  
• Ameriprise Advisor Daniel Minich Suspended for “Selling Away” Crypto Hedge Fund  
• JPMorgan Chase Auto Callable Contingent Interest Notes
• Investor Alert: Complete Business Solutions Group Inc. (d/b/a Par Funding) 
• Investor Alert: Trulieve Inc.  
• Green Organic Dutchman Holdings LTD, Investigating Potential Claims 
• Joseph Stone Broker Ross Barish Barred after Allegations of Defrauding Investors  
• SEC Charges Angel Oak Capital Advisors with Misleading Investors   
• Robin Taliaferro Barred after Allegations of Broker Misconduct
• SEC Bars Dustin Shafer after Allegations of Misrepresentation
• Griffin Realty Trust Inc. Decreases NAV and Limits Redemptions 
• Ronald Hannes Charged with Defrauding investors
• Lester W. Burroughs (Chad Burroughs) Update on the Investigation
• Pecan Grove Capital LLC – Securities Investigation
• Reedy Branch Partners LLC, Investigating Potential Claims  
• Ernest Frerking Barred from Securities Industry 
• SmartStop Self Storage REIT Tender Offer as SRP Remains Suspended
• Investor Alert: Bruce Creek Investors LLC  
• Investor Alert: Clear Springs Resort LLC   
• Investor Alert: True Pharma Strip Inc.   
• Securities Investigation: Moody Mosaic DST  
• Investor Alert: High Street Capital Fund USA LP   
•  Franklin BSP Lending Corp. (BDCA) Liquidation
•   Variable Interest Rate Structured Products – Securities Fraud Attorneys –  
•  Lose money in Citigroup’s CoBa Notes?  
• Cove NYC Metro DST – Investigating Potential Claims 
• SEC Charges Aegis with Unsuitable Recommendations  
• Joseph Ambrosole Barred from Securities Industry 
• JPMorgan, UBS, and TradeStation face charges
• Ausdal Financial Partners Inc. Lawsuit filed involving GWG
• Mackenzie Realty Capital – Investigating Potential Claims
• Securities Investigation: BR Grand at Westside DST
• Prospect Sustainable Income Fund Inc. – Investors may have Claims 
• FINRA Award: LPL, Financial Resources to Pay Investors $2.6M 
• Owl Rock Core Income Corp. BDC, Securities Investigation
• Private Advisor Group LLC settles with SEC for $5.8 Million  
• HPS Corporate Lending Fund Securities Investigation
• StHealth Capital Investment Corp., Investigating Claims
• Citigroup Autocallable Notes Linked to Moderna
• Citigroup Notes Linked to Roku, Inc. 
• Bad News for Watermark Lodging Trust Shareholders
• The Parking REIT/Mobile Infrastructure Corp. Lawsuits to Recover Losses
• The White Law Group files a Lawsuit against Centaurus Financial 
• Campus Edge Equities LLC, Investigating Potential Claims 
• Lansing Land Development Fund, Investigating Potential Claims 
• Equitable Financial settles with SEC for $50 Million  
• GWG L Bonds *Lawsuits to Recover Financial Losses*
• Securities Investigation: BIC TEI Investors LLC   
• Hartman Short Term Income Properties XX Suspends Distributions
• Investor Alert: MCG Folly Storage Investors LLC  
• Securities Investigation: RHP Development LLC   
• Fox River TEI Equities LLC, Investigating Potential Claims 
• GAO calls for FINRA Oversight Changes to Protect Investors 
• McDermott Investment Advisors held Liable
• Financial Advisor Eric Hollifield reportedly faces Fraud Charges 
• UBS Settles Fraud Charges over YES Options Trading Strategy 
• William “Ed” Torriente Barred after Allegations
• David Karandos, Dinosaur Financial, Barred after Allegations
• FINRA Sanctions McDonald Partners LLC for Private Placement Sales 
• Fishtail Creek Investors LLC, Investigating Potential Claims 
•  Investor Alert: MCG Preferred Opportunity Fund LLC  
• Investor Alert: TEI Income & Opportunity Fund LLC  
• Citrus Center TEI Equities LLC, Investigating Potential Claims 
• Investor Alert: RK Pointe at Research Park DST  
• Chad Barancyk Suspended from Securities Industry 
• Crypto Futura Fund LLC, Investigating Potential Claims 
• Investor Alert: Trilogy Riverset Multifamily DST  
• Securities Investigation: RK Montecito Pointe DST  
• BH Flats Investment LLC, Investigating Potential Claims 
• Securities Investigation: MCG 29 Investors LLC   
• Investor Alert: RK One White Oak DST  
• Securities Investigation: Derita Road Storage Investors LLC  
• George Merhoff Jr., Cetera Advisors, Fraud Investigation
•  Lose money in Barclays Autocallable Contingent Coupon Notes?
• Recovery of Investment Losses in Watermark Lodging Trust 
• FINRA Sanctions United Planners for Unsuitable GPB Sales  
• New York City REIT (NYSE: NYC) Lawsuit Investigation 2022
• Investor Alert: TRC Income Fund II LLC  
• SEC Charges Western International re GWG L Bonds 
• Broker Tony Liddle Allegedly took $1.8M in Customer Loans
• Center Street Lawsuit Involves GWG L Bonds
• Update on Alleged Ponzi Scheme Involving Horizon Private Equity III  
• Megurditch “Mike” Patatian Barred for Unsuitable Investments  
• Investor Alert: Fayetteville Student Housing DST  
• Securities Investigation: Moody Village One DST  
• Annuity Sales on the Rise, may Surpass all Time High
• Morgan Stanley Lawsuit involves Alleged Ponzi Scheme 
• The White Law Group Announces another Lawsuit Involving GWG L Bonds 
• Investor Alert: AlphaCentric Income Opportunities Fund  
• Securities Investigation: Vineyard Braselton DST  
• Investor Alert: Athens Student Housing DST
• Investor Alert: Participant Capital Fund I LP 
•  Investor Alert: FRP Student Housing B LP  
• Investor Alert: MDS 2019-Marcellus Shale Development LP  
• Investor Alert: NC Student Housing Portfolio DST  
• Investor Alert: TEI Diversified Income & Opportunity Fund IV  
• Investor Alert: SanSal Wellness Holdings Inc.  
• Arete Wealth Management Lawsuit filed involving GWG L Bonds 
• GWG Holdings (GWGH) UPDATE – GWG “L Bonds” – Securities Investigation
• Sovereign Value-Add & Income Strategy Fund I LLC    
• SunTrust/Truist to pay more than $1 Million for FINRA Rules Violations 
• Investor Alert: Integrous Energy Partners LP 
•  SEC Hits Madison Avenue Securities with $800,000 Fine for Violations 
• Investigating Claims involving West Hill Strategic Bond Fund LP    
• FINRA Lawsuit filed against Cetera Advisors
• Francisco Valenzuela, Morgan Stanley to pay $330,000  
• Investor Alert: Apexone Growth & Income Fund II LP 
• Investor Alert: Pure Harvest Cannabis Group Inc.  
• Investor Alert: Edgewood Properties LLLP 
• Investor Alert: KWB Hotel Partners LLC   
• Investor Alert: AmCap Necessity Retail Fund LLC  
• Investor Alert: A-Squared Domino Opportunity I LP 
• Sila Realty Trust Reportedly Fires Chief Accounting Officer 
• Investigating Claims involving Terra Secured Income Fund 7  
• Ameriprise Subsidiary Reportedly Fined for VA Switching   
• Industrial Logistics Properties Trust (ILPT) Securities Investigation
• Investigating Claims: Greenbacker Renewable Energy Company   
• Investor Alert: Madison Retail Box Conversion Opportunity Fund LLC 
• Securities Investigation: iCap Equity LLC  
• Investigating Claims involving GK Secured Income V LLC   
• Barbara Bernatzky Barred after Allegations of Ponzi-scheme 
• Investigating Claims involving Cunat Multi-family Investment Fund III LLC  
• Investor Alert: TPEG Southlake Hotel Investors LLC 
• Investigating Claims involving MCI Preferred Income Fund IV  
• Do you know what you’re paying your Financial Advisor? 
• Mortgage REITs (mREITs) Decline amid Economic Uncertainty 
• Investigating Claims involving Houston Multifamily Portfolio LP
• Securities Investigation: Nuveen California Quality Municipal Income Fund (NAC) 
• Securities Investigation: VanEck Digital Assets Equity UCITS ETF (DAPP) 
• UBS Reportedly Sues Texas Broker Robert Turner
• SPAC Investigation: Investigating Potential Claims involving View Inc.
• Investor Alert: Direxion Daily 7-10 Year Treasury Bull 3x Shares
• Securities Investigation: ProShares Ultra 20+ Year Treasury (UBT)  
• Direxion Daily 20+ Year Treasury Bull 3X Shares (TMF)
• Investor Alert: Caritas Royalties Fund II (Bermuda) Ltd.  
• Securities Regulators Warn Firms about Supervisory Issues
• Allianz Global Pleads Guilty to $5 Billion Fraud Charges 
• SEC Charges StraightPath Venture Partners with Pre-IPO Stock Ponzi Scheme
• Investor Alert: Pacific Oak-Related Meridian DST 
• Concord Investment Services Lawsuit
• ACP X LLP Securities Fraud Investigation  
• Investor Alert: Whittier Apartment Investors LLC 
• TSG Venture 1 LLC Securities Investigation 
• Robert High II, First Financial Broker, Barred after Fraud Charges  
• Securities Investigation: Pacific West Home Mortgage II, LLC  
• Bastion Real Estate Income Fund LP Securities Investigation 
• Securities Investigation: SRI 5051 SLV LLC
• Investigating Claims involving Pivot Quarry Investments LLC   
• FINRA Sanctions Torch Securities for Failure to Supervise
• Investigating Claims involving CNL Growth Properties III Feeder LLC   
• Investigating Claims involving Triloma Seniors Housing Fund – St. Louis LLC    
• Barred Broker Jon Pariser, Independent Financial Group, has 10 Customer Complaints 
• Investigating Claims involving iCap Pacific Income Fund 5 LLC  
• Investor Alert: iCap Vault 1 LLC
• Securities Investigation: Madison Richmond Opportunity Fund I LLC  
• Adam Belardino Charged with Defrauding Client of $313,000 
• Centaurus Lawsuit alleges High-Risk Alternative Investments
• Christopher Passero Suspended after Allegations  
• Tax Scheme involving Charitable Remainder Annuity Trusts
• Mobile Infrastructure Corporation Tender Offer
• Edward Jones Broker John Winslow Barred after Allegations
• Investor Alert: TriLinc Global Impact Fund, LLC  
• Investigating Claims involving Cunat Multi-family Income Fund I LLC
• Medley Management Pay $10 Million Fine
• D. H. Hill Securities Lawsuits: Recovery for GWG Bondholders
• Madison Avenue Securities Complaints: GWG Lawsuits  
• Newbridge Securities Lawsuits: GWG L Bond Investor Complaints 
• FINRA Sanctions Berthel Fisher for Unsuitable Options Trading 
• Cottonwood Multifamily Opportunity REIT Tender Offer
• International Assets Advisory Lawsuits involving GWG L Bonds 
• Cabot Lodge Securities Lawsuits: GWG L Bond Investors  
• Securities Investigation: Chicagoland Supermarket Portfolio DST
• Westpark Capital Investment Fraud Lawsuits: GWG L Bonds
• G. A. Repple & Co. Customer Complaints involving GWG L Bonds
• Lawsuit filed against G.A. Repple & Co. involving GWG L Bonds 
• American Healthcare REIT Tender Offer 
• Did your Center Street broker recommend investing in GWG?  
• Arete Wealth Lawsuits: GWG L Bond Claims   
• Securities Investigation: HPI Real Estate Opportunity Fund III LLC 
• Western International Securities Lawsuits: GWG L Bonds  
• NI Advisors Lawsuits: Options for GWG L Bond Investors
• Aegis Lawsuits for GWG L Bond Investors
• Investment Losses: Moloney Securities Co. & GWG L Bonds  
• Centaurus Lawsuits: Financial Losses involving GWG L Bonds 
• Did your Emerson Equity advisor recommend GWG L Bonds?
• FINRA Lawsuit filed against Emerson Equity LLC
• Chicagoland Fresh Market Venture DST – Securities Investigation  
• Securities Investigation: Aeon Fiber Opportunity Fund I LP 
• Shawn Good Barred after Allegations of Ponzi Scheme 
• Philip Riposo Barred from Securities Industry after Allegations
• Securities Investigation: Sourcely Holdings Inc. 
• Protecting Investors from Misconduct, FINRA releases FAQ on Rule 4111
• FINRA Sanctions IBN Financial Services For GPB Sales 
• Michael Knittel Suspended for Selling Away
• Invesco Rochester Municipal Opportunities Fund (ORNYX)
• Western Asset SMASh Series Core Plus Completion Fund
• Franklin BSP Lending Corp. Investigation
• C4 Equity LLC, Securities Investigation 
• FINRA Sanctions National Securities Corp for Misconduct
• Integrated Wealth Concepts Settles Fraud Lawsuit  
• Broker Marianne Oshee Smith, of Cetera, Allegedly Converted Senior Customers’ Funds 
• First Trust High Yield Opportunities 2027 Term Fund (FTHY) Securities Investigation
• Securities Investigation: 1155 Madison Group LLC 
• Mill Green Opportunity Fund VI LLC Securities Investigation 
• GWG Holdings Files Chapter 11 Bankruptcy Protection
• Investor Alert: Chicagoland Medical Portfolio II DST
• E2c ESA Bond 1 LLC – Securities Investigation 
• Francis Velten Jr. Accused of Variable Annuity Switching
• Resource REIT, Inc. Securities Investigation
• Securities Investigation: AAG Harvest 2019 LLC 
• Securities Investigation: Izon Network Inc. 
• Securities Investigation – Alitair Pharmaceuticals Inc. 
• Securities Investigation – GB Sciences Inc. 
• BSP Realty Trust becomes Franklin BSP Realty Trust (FBRT)
• Scott Hananel Suspended for Excessive Trading
• American Healthcare REIT Inc. Liquidation
• Investor Alert: Corporate Property Associates 18 – Global Inc. (CPA:18)
• Jury Finds Ambassador Advisors Breached Fiduciary Duty 
• FS Energy and Power Fund Shareholders may have Recovery Options
• SEC Virtual Event: Safeguarding the Golden Years
• Ex-LPL Broker Jonathan Cooke found liable in Fraud Scheme
• Naseem Salamah Allegedly Stole $1 Million from 3 Clients 
• Steadfast Apartment REIT Shareholder Lawsuits Investigation
• FINRA Claim Filed Against Credit Suisse and UBS
• Dempsey Lord Smith Sanctioned for GPB Capital Offerings  
• BD4RIA Inc. Sanctioned for Misconduct regarding GPB Offering
• Geneos Wealth Sanctioned for LJM Funds & GPB Funds
• FINRA Lawsuit filed against Stifel, Nicolaus & Company, Inc. 
• Mass. Securities Regulator Investigates Firms on Interest Rates
• Paul Koch, RBC Broker, Barred from Securities Industry  
• Advisor Scott Fries Settles Fraud Charges with SEC  
• Cell Point LLC Reportedly Charged with $10 Million Fraud
• Mario Rivero Jr. Reportedly Charged with Stealing from Clients 
• Forrest Jones, Merrill Lynch, Barred from Securities Industry 
• Sila Realty Trust Inc. tells Shareholders to Reject Tender Offer
• FINRA Sanctions Crown Capital Securities LP for Violations 
• SmartStop Self Storage REIT Suspends SRP
• FINRA Rule 4111: Is your Brokerage Firm on the Naughty List? 
• Deutsche Bank Securities, Inc. Hit with $2 Million Fine 
• WP Carey’s Corporate Property Associates 18 – Global Inc. Liquidation
• NorthStar Healthcare Income Inc. Losses – Investors may have claims
• FS Global Credit Opportunities Fund Shareholders may have Claims
• South Dakota Securities Division Bars Dennis Riordan
• SEC Examines only 1 in 5 Registered Investment Advisors (RIAs) in 2021  
• SEC Charges Cambridge Investment Research with Conflicts of Interest 
• Broker Joseph DeGregorio Charged with Fraud
• Sierra Income Corp. Completes Merger with Barings BDC Inc. (BBDC) 
• Seven Individuals Indicted in Syndicated Conservation Easement Tax Scheme 
• Variable Annuity Switching – Securities Fraud Lawyer
• Broker Warren Rowe Jr. Barred from the Securities Industry 
• Broker Andrew Elsoffer Reportedly Suspended for 2 Years  
• Gary Bowman of Sagepoint Sanctioned for Unsuitable UITs 
• Securities Investigation: Horizon Select Technology Fund LLC 
• Securities Investigation – Special Interest Acquisition Company (SPAC) 
• Securities Investigation: Clarus Enterprises – Residuals Acquisitions LLC 
• Arthur Hoffman, Ameriprise Broker, Fraud Allegations
• James Dunn Jr. has 19 Customer Complaints 
• Permian Basin Royalty Trust (PBT) Securities Investigation 
• Purshe Kaplan Charged with Failure to Supervise Harvest Group’s ETF Sales 
• Risk Alert: SEC finds RIAs Fee Calculations Harmful to Investors  
• Infinity Q Capital Founder Charged with Massive Fraud   
• O.N. Investment Management Reportedly Fined
• FINRA Award: JP Morgan to pay $1.4 Million to Financial Advisor 
• Franklin BSP Realty Trust (FBRT) Series F Shares Tender Offer  
• CION Investment Corporation (CION) Shareholder Lawsuits
• Ex-Wells Fargo Advisor Kenneth Welsh Sued for $10 Million 
• Broker Darryl Cohen Allegedly Defrauded NBA Players
• Black Creek Industrial REIT IV Securities Investigation
• UBS Hit with $1.9 Million in another UBS YES FINRA Suit  
• James Couture Charged with Witness Tampering
• Broker German Nino Charged with Defrauding Advisory Clients 
• Pacific Oak Strategic Opportunity REIT Suspends Share Redemption Program
• Registered Investment Advisor (RIA) – Securities Fraud Attorneys 
• Talkspace Inc. – Investigating Potential Securities Claims   
• Broker Paul McGonigle, LPL Financial, Update
• Securities Investigation: Strategic Energy Income Fund V LP  
• Mewbourne Energy Partners 21-A LP Investigation 
• Wisconsin Financial and Securities Fraud Attorneys
• MSC Income Fund Inc. – Update on the Investigation 
• Securities Investigation: Scurry County Energy Fund III LP 
• Update: Foresight Energy LP MLP Securities Investigation
• FSKR – FS Investments Lawsuits Update 2022
• Four Springs Capital Trust Postpones IPO 
• Securities Investigation: Catalyst Energy 2019-2 LP 
• Legion Capital Corp. – Investigating Potential Securities Claims   
• Credit Suisse Hit with $9 Million for Violating Rule 
• Hugoton Royalty Trust (HGTXU) Securities Investigation
• Investor Alert: Vanguard Target Retirement Funds
• VII Peaks Capital Lawsuit Investigation *UPDATE*
• CIM Real Estate Finance Trust, Inc. Lawsuit Investigation *UPDATED*
• Casper Grove Partners LLC – Investigating Potential Securities Claims  
• APX Bellatorum Royalties 2020 LP Investor Lawsuits 
• NP Sol Y Luna DST Securities Investigation  
• SEC Permanently Bars Advisor Michael Shillin after Criminal Fraud Charges 
• ProShares Bitcoin Strategy ETF (BITO) Securities Investigation  
• Securities Investigation: TCF13 Watermark Multifamily Fund LLC 
• USEDC 2021 Drilling Fund LP, Oil and Gas Private Placement Investigation 
• Oil and Gas Private Placements
• Waveland Resource Partners V Investor Lawsuits 
• Preston Fisher Royalties LLC Investor Lawsuits
• American Finance Trust Renamed “The Necessity Retail REIT” 
• Denny Pines Partners LLC – Investigating Potential Claims  
• BDCA Changes Name to “Franklin BSP Lending Corporation”
• Securities Investigation: Salem Bend Partners LLC 
• Phalanx Minerals 2018 LP Investor Lawsuits 
• Austin Dutton has 25 Customer Complaints
• Triad Advisors LLC Sanctioned for Failure to Supervise LJM Fund Sales 
• APX New Harmony Partners-E LP Investor Lawsuits  
• Securities Fraud Investigation: Bellatorum Resources 
• Securities Investigation: S.T.L. Resources Drilling Fund B L.P. 
• National Multifamily Portfolio IV DST Securities Investigation
• Securities Investigation: Meramec Rich Royalties LLC  
• Go Store It Asheville Storage DST – Investigating Potential Claims  
• BR Glenwood DST Investors may have Claims 
• NB Gathering DST Securities Investigation  
• What is a Tenants-in-Common (TIC) Investment and is it suitable for you?
• CION Shareholder Lawsuits after Listing on NYSE  
• Financial Advisor Lee Nordstrom Barred from Securities Industry 
• Chicago, Illinois Securities Fraud/Broker Fraud Attorney
• Investor Alert: Shopoff California Commercial Fund LP  
• Stira Alcentra Global Credit Fund Securities Investigation 
• NexPoint Texas Multifamily DST – Investigating Potential Claims  
• Risks of Investing in Leveraged and Inverse Exchange-traded Funds (ETFs)
• 295 BR Holdco DST – Securities Lawsuit Investigation 
• JP Morgan Securities Hit with $125 Million
• CF Net Lease Portfolio III DST, 1031 Exchange DST Investigation 
• Conestoga Life Settlements Lawsuits Investigation
• Ground Lease REIT Inc. – Lawsuit Investigation 
• Wedbush Securities Settles Charges for Unregistered Microcaps 
• Did your Advisor Recommend a Hospitality REIT?
• Independence Realty Trust Merger with Steadfast Apt. REIT  
• Shareholders approve Steadfast Apartment REIT Merger
• Tuscan Gardens Growth & Income Fund LLC Securities Investigation 
• BR Quinn35 DST – Investigating Potential Claims
• Wells Fargo to pay nearly $2.7 million for early UIT rollovers 
• RK Pointe at Lake Crabtree DST Securities Investigation
• BR Gate DST – Investigating Potential Claims  
• BDCA Investment Losses – Tender Offer Price Suggests Losses for Investors
• Priority Income Fund NAV Continues to Decline  
• How to Recover Hospitality Investors Trust (HIT REIT) Investment Losses 
• Inspired Healthcare Capital Fund LP – Investigating Claims 
• NB Crest Investor Units LLC Securities Investigation 
• MVP St. Louis Cardinal Lot DST – Investors may have Claims 
• Tasty Brands LP – Investigating Potential Securities Claims 
• Investor Alert: NB The Mark LLC 
• Carson Oil Field Development Fund II LP Securities Investigation 
• GKPI III LLC Securities Investigation 
• CSRA MOB Portfolio II DST Securities Investigation 
• Alzamend Neuro Inc. (ALZN) Investigating Potential Lawsuits  
• Lightstone Value Plus REIT IV Proxy Provisions
• Atlas Growth Partners LP – Liquidation and Lawsuits 
• Strategic Realty Trust NAV Continues to Decline 
• MDS 2020 Marcellus Shale Development LP Investigation
• N1 Liquidating Trust: NorthStar REIT Liquidation Losses
• NB Downs LLC Securities Investigation 
• Ares Real Estate Income Trust (fka Black Creek Diversified Property Fund) Amends SRP 
• Heartland Drilling Fund I LP, Investigating Potential Claims 
• Investor Alert: Orchestra BioMed Inc. 
• Heartland Production & Recovery LLC Securities Investigation 
• Crescent Moon Investors LLC Securities Investigation
• Adgero Biopharmaceuticals – Investigating Potential Claims 
• Dance Biopharm Holdings Inc. Securities Investigation 
• MDS Energy Partners LP, Recovery of Investment Losses
• Business Development Companies BDCs – the good, the bad, and the UGLY
• SEC Charges: Heartland Group Ventures for $122 Million Fraud
• BR Four Corners Orlando DST Investors may have Claims 
• Jesus Rodriguez Barred from Securities Industry 
• Power 5 Conference Student Housing I DST Investigation 
• Gaming Partners International Corp., Investigating Potential Claims 
• ExchangeRight Net Leased Portfolio 10 DST, 1031 Exchange DST Investigation 
• Zero Coupon Pharmacy VIII DST – Investigating Potential Claims  
• GKPI Preferred Income Investment III Securities Investigation
• McNally Financial Services Sanctioned for Supervisory Failures 
• SEC Charges Edward Jones Advisor Ronald Molo with Fraud  
• NorthStar Healthcare Income Inc. – Bad News for Investors  
• First Capital Real Estate Trust Inc. Update on Fraud Charges
• American Healthcare REIT: Griffin Merger
• Lightstone Value Plus REIT V Redemptions Limited to “Stockholder’s Death” 
• Florida Multifamily Portfolio DST – Investigating Potential Claims  
• RK Pointe at Prosperity Village DST Investors may have Claims 
• SEC Risk Alert: Widespread Problems with Advisor Fees
• Mobile Infrastructure Corp./Parking REIT Lawsuit Investigation
• CF Norterra Canyon Multifamily DST – Investors may have Claims  
• SQN Asset Income Fund V LP Securities Investigation 
• Cetera Broker Donna Jean Hines Barred from Securities Industry 
• Aegis Capital Corp. Hit with $2.8M for Excessive Trades 
• David Melilli Barred from Securities Industry 
• Healthcare Trust Inc. (ARC Healthcare Trust II) Declines
• Broker Brian Pearce Suspended for FIP Sales 
• Ex-Wells Fargo Broker James Seijas Barred from Securities Industry 
• American Finance Trust (AFIN) Lawsuits to Recover Financial Losses 
• Montgomery 2015 Municipal Revenue Bonds Investment Losses  
• Cantone Research Allegedly Misrepresented Quad Cities Bonds  
• Kenneth Welsh Charged with Stealing Millions from Customers  
• NYLIFE Securities Sanctioned for Mutual Fund Overcharges 
• First Allied Broker Michael Reither Barred from the Securities Industry 
• Four United Development Funding Execs Charged with Felony Counts of Fraud  
• UDF III Investigation: Recovery of Investment Losses  
• Financial Advisor James Simpson Pleads Guilty of Fraud  
• Franklin BSP Realty Trust (FBRT) Completes Merger
• Investor Alert: Arcadian New Venture Fund L.P. 
• CNL Strategic Capital LLC, Investigating Potential Claims 
• Edgar Kleydman, Former AXA Advisor, Barred from Securities Industry 
• Worden CEO Barred after 10 Customer Complaints
• Broker Nicholas Palumbo Barred from Securities Industry
• Seattle, Washington Securities Attorney – Investment Fraud Lawyer
• Claims for GPB Holdings II LP Shareholders 
• Investor Alert: Indianapolis Medical Office DST  
• Investor Alert: Strategic Student & Senior Housing Trust Inc.  
• The White Law Group Opens New Office in Seattle, Washington
• Portland, Oregon Securities Fraud Lawyer – Broker Fraud Attorney
•  LPL Advisor Eric Hollifield Barred from Securities Industry 
• Griffin Realty Trust – Two New Tender Offers as NAV Declines  
• Investor Alert: Livingston Street Capital- 3 Office DST  
• NREA Southeast Portfolio Three DST Securities Investigation  
• National Net Lease Portfolio VII DST Securities Investigation
• Investor Alert: Black Pine Minerals LLC 
• White Pine Minerals LLC, Investigating Potential Claims 
• JFC Windsor DST Securities Investigation  
• Investor Alert: Zero Coupon Chicagoland Office DST  
• MRC HV Investors LLC, Investigating Potential Claims 
• Former Worden Advisor Joseph Valdini has Churning Complaints 
• Domain Northside Office-Retail REIT LLC, Investigating Potential Claims 
• Investor Alert: Brookfield Strategic Office REIT II LLC 
• Aeon Harvest 2018 LLC, Investigating Potential Claims 
• Schwab Intelligent Portfolios “Robo-Investment” Investigation
• Regulation D Private Placement Fraud Attorneys
• Maryland Bars Broker Marcus Beasley from Securities Industry 
• UDF IV-United Development Funding IV- Lawsuits to Recover Financial Losses
• JP Morgan Fires Edward Turley after Million-dollar Complaints
• Hines Global REIT/HGR Liquidating Trust * Liquidaton Update
• Broker John Santariello Barred from Securities Industry 
• Shopoff Commercial Growth & Income Fund II LP
• Toledo Financial Advisor James Simpson Charged with Fraud *UPDATED*
• Alliance Global Advisor Michael Shillin Charged with Fraud *UPDATED*
• GPB Automotive Portfolio LP, Securities Investigation Update 
• InvenTrust Properties Corp. to List on NYSE 
• Former AXA Advisor, Jenna Kang Barred from Securities Industry 
• Phillips Edison & Co.(PECO) Third Party Tender Offer
• Ronald Giovino Jr. Barred from Securities Industry 
• Investor Alert: Empire Village at Olive Marketplace LLC  
• Empire Village at Skyline Ranch, LLC, Securities Investigation 
• Berthel Fisher & Co. Sanctioned for Mutual Fund Overcharges 
• Investor Alert: Empire Village at Carver Mountain LLC 
• ATEL 15 LLC – Investors may have Claims
• Empire Residential Communities Fund III Securities Investigation 
• Empire Village at Pioneer Park, LLC Securities Investigation 
• Shopoff Land Fund V LP Securities Investigation 
• Empire Village at Pebble Creek, Investigating Potential Claims 
• FINRA Award: UBS to Pay Investors $358,000 for YES Strategy 
• RBC Capital Markets to pay $800,000 for Unfair Dealing in Municipal Bonds
• Chestnut Healthcare Partners LP Securities Investigation 
• Atel 16 LLC Securities Investigation – Illiquid Investment
• Deutsche Bank Securities Censured & Fined 
• William “Jeff” Michero Barred from the Securities Industry 
• ATEL Capital Equipment Fund Investment Losses
• Mark Sachse Barred from Securities Industry 
• Santander Investment Securities Inc. Censured & Fined 
• Adam Belardino Barred from Securities Industry 
• Moody National REIT II Impacted by COVID-19 Pandemic 
• 1031 Delaware Statutory Trust (DST) Investments Overview
• Investor Alert: Red Oak Capital Fund LLC 
• Thomas Ward Stratton Barred from Securities Industry 
• Concerned about your investment in ElectroCore Inc. (ECOR)? 
• Deeproot 575 Fund LLC Lawsuits 
• Cetera, Cambridge, KMS Sanctioned for Cybersecurity Issues
• Horizon Private Equity III Investors Lawsuits
• Robert Lax Barred from the Securities Industry 
• Hospitality Investors Trust Inc. (HIT REIT) Files Chapter 11 Bankruptcy
• NYLife Broker Felix Chu Barred from Securities Industry  
• Deeproot Funds LLC Charged with $58 Million Fraud 
• Investor Alert: RK Berewick Pointe DST  
• Jeffrey Scott Anderson Barred from Securities Industry 
• Green Rock Investors LLC Securities Investigation 
• John Cangialosi Suspended from Securities Industry 
• Investor Alert: USEDC 2019 A Drilling Fund LP
• Invesco Real Estate Income Trust Inc. Securities Investigation 
• Oaktree Strategic Income II Inc. BDC Securities Investigation 
• StHealth Capital Investment Corp. BDC Securities Investigation 
• Eugene McAdams Barred from Securities Industry
• Ex-NYLife Broker Dan Jossen Barred from Securities Industry
• NB Taylor Bend 2, LLC files Chapter 11 Bankruptcy 
• Healthcare Hospitality II DST Securities Investigation
• Herbert J Sims & Co. to Pay $250,000 for Structured Products
• Prospect Flexible Income Fund Inc. BDC Securities Investigation 
• Guggenheim Credit Income Fund BDC Securities Investigation 
• SEC Approves FINRA Rule Change to Protect Investors from Rogue Brokers
• Owl Rock Capital Corp. II BDC, Illiquid Investment 
• Barred Broker Dana Vietor has 3 New Customer Complaints 
• Ex-LPL Advisor Kevin McCallum Suspended from Securities Industry
• Parking REIT Executive Allegedly Charged with Defrauding Investors
• Bluerock Growth Fund II LLC Securities Investigation 
• BR Berry Hill Nashville LLC Securities Investigation 
• Total Frat Movie LLC Securities Investigation 
• Jason LaBelle, LPL Financial, Barred from the Securities Industry
• Mirae Asset Properties I DST Securities Investigation
• Investor Alert: Downtown Nashville Hospitality DST  
• Cunat Multi-Family Investment Fund II LLC Securities Investigation
• Starboard Madison View DST Securities Investigation 
• Investor Alert: Midwest Senior Living Portfolio DST  
• Hines-Sentio Healthcare Opportunity Fund LP Securities Investigation 
• Sila Realty Trust Inc. (Carter Validus ) Liquidation
• D.H. Hill Securities Sanctioned for Private Placement Sales
• Laidlaw & Co. to pay $1.5 Million for Supervisory Failures
• Cottonwood Communities Inc. Merges with Affiliated REITs
• First Capital REIT CEO to Pay $7 million for Alleged Fraud Charges
• U.S. Congress Investigates Multibillion-dollar ‘Clean Coal’ Tax Credit
• Wilson-Davis Co. Inc. to pay $500,000 for Supervisory Failures
• UBS hit with $8 Million for Unsuitable Sales of VXX Fund
• Concerned about your investment in CORE Pacific Crosslakes DST? 
• Concerned about your investment in ACA The Chelsea LLC? 
• Concerned about your investment in Starboard Metro DST? 
• Advisor Kevin Meadows Reportedly Suspended
• Medley Management Suspends Trading
• Sean Zhang, Wells Fargo Advisor, Barred from the Securities Industry
• Next Financial Group to pay $750,000 for Supervisory Failures
• Texas South Energy Inc. Securities Investigation
• Douglas Szempruch Suspended from the Securities Industry
• Tyler Rigsbee Barred from the Securities Industry
• Scuderi-Holyoke Securities Investigation
• Broker George McCaffrey III, NTB Financial, Barred for Selling Away
• Ex-Summit Broker Victor Rigoni III Suspended from the Securities Industry
• Broker John Swon IV, of Royal Alliance, Barred from Securities Industry 
• Sanctuary Securities to pay $500,000 for Supervisory Failures
• Ex-Morgan Stanley Broker Michael Paesano has 24 Customer Complaints
• Stuart Pearl, David A. Noyes & Co. Broker Suspended
• Christopher Orlando, Former Worden Financial Advisor, Barred from Securities Industry
• NB Vue Mac DST files Chapter 11 Bankruptcy
• Hall Structured Finance III, LLC Securities Investigation 
• Advisor Ajay Gupta, Conservation Easement Lawsuit
•  Moody National REIT II Postpones Valuation of Shares
• Jon Lindberg, Proequities, Charged with Broker Misconduct
• T0.COM Inc. Securities Investigation
• Stiflel Nicolaus Ex-Broker Alex Perry Barred from Securities industry
• Crown Capital Securities to Pay $1.6 Million for Overcharges
• Griffin REITs Merge to become American Healthcare REIT
• Ex-Triad Advisors Broker Nathan Katz Barred from Securities Industry
• Broker Jeffrey Dixson, Madison Avenue Securities, 21 Customer Complaints
• Washington Prime Group Files for Chapter 11 Bankruptcy
• FINRA Investigation: Broker Abdul Rahmani, Joseph Stone, Mineola, NY
• Sierra Income Corp. Seeks Strategic Alternatives as Value Declines
• Ex-Worden Advisor Salvatore Pizzimenti Barred from Securities Industry
• Ex-LPL Financial Advisor Paul McGonigle Charged with Defrauding Clients
• Legacy Living Senior Partners Jasper, LLC Securities Investigation
• Former Cetera Advisor David Rockwell Sentenced to Prison
• Titan Securities Broker Richard Demetriou Barred from Securities Industry 
• SEC Charges LJM Funds Management & LJM Partners with Fraud
• SEC Charges James Couture with Stealing $2.9 Million
• EJF Trust Preferred Fund LP Securities Investigation
• Mercer Hicks III Reportedly Barred after Complaints 
• Broker David White, Centaurus Financial has 12 Customer Complaints
• Investment Losses: Northstar Financial Services
• Robert Ginsberg, Woodbury Broker, Customer Complaints
• Kyckr: The Future of Financial Crime, Insights From Dax White
• Rodin Income Trust Inc. Lawsuit Investigation
• FINRA Investigation: Merrill Lynch & Alleged Cold Calling Violations
• Broad Oak Group International LLC Securities Investigation
• ZocDoc Inc. Securities Investigation
• Surna Inc. Securities Investigation
• Ex-LPL Broker Matthew Clason Barred after Theft Charges
• Adam Belardino of MML Investors Services Suspended
• Combate Americas LLC Securities Investigation
• JABL LLC Securities Investigation
• Buddy Mac Holdings LLC Securities Investigation
• O. N. Equity Sales Company reportedly to pay $1 Million
• ATEL 17 LLC Equipment Leasing Investigating Lawsuits
• FINRA Claim: Morgan Stanley & Broker Jacob Shapira
• David Martirosian of Joseph Stone Capital Barred from Securities Industry
• Pruco’s Frederick Joseph Rock – Fred Rock – Suspended
• FINRA Claim: $23 Million over Tesla Trades
• Wells Fargo Fires Brokers over Improper Insurance Sales Practices
• SEC Orders Final Judgment against Ex-advisor Lester “Chad” Burroughs
• GPB Holdings II LP “Ponzi-Like Scheme” – Recovery for Investors
• Investor Alert: Croatan North Oaks DST 
• Presidio Property Trust (NASDAQ:SQFT) Lawsuit Investigation Update
• Eddy Blizzard Charged with Stealing $1M+ from Client’s Account
• FINRA Reviews Ex-UBS Advisor over $3.75M Settlement
• Brentwood Real Estate Partners Securities Investigation
• GWM Capital Real Estate LLC Securities Investigation
• Aldgate Real Estate Partners, LLC Investment Losses
• Senior Care Centers LLC Files for Chapter 11 Bankruptcy Protection
• Broker Michael Dellaporta Jr. Barred from the Securities Industry
• FINRA Alleges Advisor David Melilli made Excessive, Unsuitable Trades
• Griffin Realty Trust Lawsuits Investigation
• CION Investment Corporation to List Shares
• Southern Appalachian Investment Fund 2014 LLC Investment Losses
• Inland Capital Investment Fund 2014 LLC Securities Investigation
• Sunstone Income Apartments IV LLC Securities Investigation
• LifeStorage LP – Investigating Potential Claims
• Lodging Fund REIT III Update on Investigation
• Credit Suisse Securities Censured and Fined $345,000 
• BSP Realty Trust Investigating Potential Lawsuits
• MarcDavid Green Solutions Securities Investigation
• GPB Automotive Portfolio LP Lawsuits Investigation *Update*
• Bourne Seniors Housing V LLC Securities Investigation
• Pacific Oak Residential Trust (Reven Housing REIT) Lawsuit Investigation 
• CW Investor on Highland LLC Securities Investigation
• Spring Hills Holdings LLC Securities Investigation
• Investor Alert: APX New Harmony Partners-C LP 
• SBLP Senior Living Fund I LP Securities Investigation
• HPI Office Investors LTD Securities Investigation
• 10 Worst Financial Advisors in America according to Think Advisor
• Investor Alert: Newstream Hotel Partners – IAH LLC 
• The SEC charges Adviser Douglas Elstun with Fraud
• Raymond James Broker Gary Dodds Sanctioned for Churning/Excessive Trading
• CPA:18 – Global – WP Carey Inc. Tender Offer $3.89 per share
• American Independent Securities Group to pay $275,000 to Customers
• Cambridge Investment Research Sanctioned for Sales of LJM Fund
• JW Cole Financial Inc. Sanctioned for Sales of LJM Fund
• Securities America, Inc. Sanctioned for Sales of LJM Fund
• Beltline Senior Care Center Holdings LLC Securities Investigation
• Lightstone REIT-Secondary Price Suggests Losses
• Ex-Newbridge Broker Marshall Isaacson Lawsuit Investigation Update
• Jeffrey Fladell, Ex-RBC Capital Markets Suspended from Securities Industry
• Financial Advisor Michael Barry Carter Sentenced to Prison
• Phillips Edison & Co. Stock Split Delayed due to “Market Conditions”
• Investor Alert: Mewbourne Energy Partners 17-A LP 
• Scott Wolfrum, Former David A. Noyes & Co. Advisor, Settles Charges with the SEC
• Ex-Merrill Lynch Broker Marcus Boggs Pleads Guilty to Fraud
• CIM Income NAV Decreases Monthly Value per Share
• Lawsuit Filed Against Cetera over High-Risk Investments
• Chad Mackland, MML Broker Barred from Securities Industry
• Dalmore Group LLC Sanctioned for Rules Violations
• Edmund Zack, Former Aegis Broker, Suspended and Fined
• Eagle Hospitality REIT Files Chapter 11 Bankruptcy
• Summit Healthcare REIT Lawsuits Investigation
• Investor Alert: Zona Energy Inc. 
• Keppel-KBS US REIT Securities Investigation
• Trevor Rahn, Former JP Morgan Broker Suspended for 18 Months
• FINRA Fines Surge 43% in 2020
• James Schwartz (Jim Schwartz) Barred after Churning Allegations 
• Broker John Krohn Reportedly Sued for $39.2 Million in Damages 
• FINRA Complaint: Ex-Aegis Advisor Kishan Parikh
• Cambridge Investment Research Overview
• Former Broker James Lamont has 12 Customer Complaints
• Sierra Income Corporation Net Asset Value (NAV) Continues to Decline
• Nine Point Energy Holdings Inc. Files Chapter 11 Bankruptcy
• Ex-Merrill Lynch Broker Peter Ianace, Customer Complaint filed after Bar
• Investor Alert: Vineyard Pearland DST 
• FSEP (FS Energy & Power Fund) Lawsuits Updated
• The Parking REIT: Negative Effects of Covid-19 Pandemic
• Jeffrey Stanga, FMN Capital Corp. Advisor, Suspended
• Activist New York City REIT (NYC) Shareholder Nominates Board Member after Threatening Proxy Battle  
• Parking REIT Update – Declining NAV $11.75 Per Share
• Aegis Capital Corp. Censured & Fined for Bond Overcharges
• Strategic Storage Trust IV Merges into SmartStop Self Storage REIT 
• SEC Bars Brokers over Belize Fund, an Alleged Ponzi-scheme
• Mayur Dalal Barred from Securities Industry 
• Bradley Goodbred Barred from Securities Industry 
• Foundry Mezzanine Opportunity Fund LP Securities Investigation
• Artis Senior Living Boca Raton Fund, LLC Securities Investigation
• Ryan Tarjanyi Barred from Securities Industry 
• Investigating Potential Claims involving Carmell Therapeutics Corp. 
• Otay Village 8 Lender LLC Securities Investigation
• EB5 United NYC VI LP Securities Investigation
• Anderson Pointe Investments LLC Investment Losses
• Pathways ODP1 LLC Securities Investigation
• Investor Alert: Flatirons Self Storage DST 
• Investor Alert: Towson Maryland Fitness DST