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Private Placements

August 30, 2024 Drive Planning CEO Russell Burkhalter Accused of $300 Million Ponzi Scheme
May 10, 2024 After $13 Million in Penalties for 'Widespread Failure,' Oppenheimer Fined $500,000 for Supervisory and Suitability Gaps
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
March 14, 2024 Osaic aka SagePoint Financial's David Tall Barred for Unauthorized Promissory Notes
February 08, 2024 Investor Loses $300,000 in Unapproved Securities-Based Loan Strategy
February 23, 2022 Unsuitably Recommended and Sold to Investors, GWG Holdings L Bonds Lose Value, Paving Way for Arbitration
October 20, 2021 Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
July 26, 2019 GPB Capital Sued for Alleged Serious Financial Misconduct