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Alternative Investments

May 01, 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
February 26, 2022 L Bond Losses: Defining GWG Holdings' Unsuitably Risky Product
April 24, 2020 Brokerages Stop Risk-Laden REIT Sales After Massive Coronavirus Losses
August 07, 2018 Compliance Officer Claims Retaliation in Firing from Purshe Kaplan Sterling After Reporting Alt Investment Red Flags to FINRA
June 13, 2019 Nina Jessee Latest Cetera Advisors Broker Barred by FINRA
February 13, 2019 Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital
December 19, 2018 FINRA and SEC Launch Investigation of GPB Capital Holdings
June 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts