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Alternative Investments

Most Recent Posts in Alternative Investments

May 1, 2024 FINRA Barred Former Independent Financial Group (IFG) Broker Brett Arthur Hartvigson of San Diego, California for Refusing to Cooperate With Its Investigation Into Allegations That Were Part of a Complaint. In 2021, While Associated With IFG, Brett Harvgi
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Mar 24, 2022 Geneos Wealth Management to Pay $400,000 for Improper Alt Investment Sales
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Feb 26, 2022 L Bond Losses: Defining GWG Holdings' Unsuitably Risky Product
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Nov 22, 2021 Non-Traded Real Estate Investment Trusts: Recovering Damages when a Broker Unsuitably Recommends a REIT
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Apr 30, 2021 Antoine Nabih Souma Under Investigation After JP Morgan Pays $14 Million to Settle Dispute
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Apr 1, 2021 Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison
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Mar 31, 2021 Broker-Dealer's Due Diligence Duties for Private Placements Require Research and Supervision
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Nov 13, 2020 SEC Fines Royal Alliance Associates Over Volatility Linked ETP Failures, Including iPath S&P 500 VIX ETN 'VXX'
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Sep 19, 2020 Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean
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