In the world of finance, the role of a stockbroker is crucial. They act as intermediaries between investors and the stock market, providing advice and executing trades on behalf of their clients. However, like any profession, the conduct of some brokers can lead to complaints and disputes. This article focuses on complaints related to a …
Complaint Filed Against Stock Broker Brian Napier For GWG Holdings Sales Read More »
Financial advisors play an essential role in helping individuals make informed investment decisions. However, when a financial advisor is involved in lawsuits or complaints, it’s crucial to investigate and understand the situation. This article will look closely at Peter Shen, a financial advisor from Independent Financial Group, and the complaints and lawsuits against him. Background …
Peter Shen: A Closer Look at the Complaints and Lawsuits Against This Financial Advisor Read More »
A broker boasting over three decades of experience has been suspended due to improper use of margin trading in customer accounts. Dana Davis, who spent almost half his 33-year career at a Newbridge Securities Corp. New York branch, agreed to a 12-month suspension and a restitution payment of $75,000, according to a consent document filed …
Dana Davis, Financial Advisor at Newbridge Securities, SUSPENDED By FINRA Read More »
Broker Daniel Beech (CRD #: 6169844) has been involved in multiple customer disputes during his career with Innovation Partners LLC (CRD#: 146344) of Charlotte, NC. He has also worked with various previous employers, including Western International Securities (CRD#:39262) of Westlake Village, CA, Independent Financial Group, LLC (CRD#:7717) of Sherman Oaks, CA, and Royal Alliance Associates, …
Unraveling Broker Daniel Beech’s Customer Disputes Read More »
Peakstone Realty Trust (NYSE: PKST), previously Griffin Realty Trust, is a complex and potentially risky investment that may not be suitable for inexperienced retail investors. If your financial advisor misrepresented Peakstone Realty Trust as a safe, liquid, and/or short-term investment, you may be eligible for compensation. Haselkorn & Thibaut, a leading investment fraud law firm, …
Losses From Peakstone Realty Trust (Griffin Realty Trust)? Read More »
According to recent on-chain data, a Chinese multilevel marketing (MLM) scheme is now reportedly the fifth largest holder of MATIC, a cryptocurrency token. This Ponzi scheme, which has been operating in China for some time, has now become one of the top holders of MATIC, potentially marking a new era of cryptocurrency adoption in China. …
Chinese MLM Ponzi Now Fifth-Largest Holder of MATIC Polygon Read More »
Following his guilty plea, a former New York City advisor was sentenced to three and a half years in jail for theft and scamming multiple investors and employees at his firm. Adam Belardino was sentenced this week in federal court in White Plains after pleading guilty last year to two counts of wire fraud and …
Advisor Adam Belardino, The Maddox Group, Sentenced to 3 and Half Years for Scams Read More »
The Securities and Exchange Commission today charged Payward Ventures, Inc. and Payward Trading Ltd., both commonly known as Kraken, with failing to register the offer and sale of their crypto asset staking-as-a-service program, whereby investors…
Disclosing their agreement to pay $125 million to the Securities and Exchange Commission (SEC) $125 million and $75 million to the Commodity Futures Trading Commission $75 million “to resolve record-keeping related investigations by those agencies relating to business communications on messaging platforms that had not been approved by the Firm,” in an SEC regulatory filing, …
Morgan Stanley Fined $125 Million By SEC For Employee Communications Read More »
Broward County, Florida-based financial adviser German Nino, found guilty of stealing from three advisory clients of his then firm UBS, has been handed down a prison sentence of 78 months by U.S. Senior District Judge Donald Graham. Forfeiture of his interest in a home in Ave Marie, Florida, has also been agreed by Nino, as …
UBS FA German Nino Gets 78 Months in Prison for Stealing Client Money Read More »