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Investment Fraud Ponzi Scheme vs. Pyramid Scheme: What Investors and Practitioners Need to Know
Ponzi schemes and pyramid schemes are often mistaken for one another because both ultimately collapse once the flow of new money slows. That similarity, however, obscures critical differences. The confusion is not merely academic; it carries serious…
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Alternative Investment The Hidden Risks of Structured Products: Are They Worth It?
Oakes & Fosher is actively investigating structured product misconduct , complex financial instruments increasingly implicated in investor losses due to undisclosed risks, hidden fees, and suitability violations . While marketed as “principal protected”…
Read More Alternative Investment Are Alternative Investments Safe? Unpacking the Risks and Scams
Oakes & Fosher is actively investigating widespread misconduct in alternative investments , complex financial products increasingly implicated in investor losses due to undisclosed risks, misrepresentation, and fraudulent sales practices . While marketed as…
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Uncategorized James Walesa Broker Misconduct & Securities Fraud – Oakes & Fosher Investigation
Oakes & Fosher is actively investigating broker misconduct claims involving James Walesa , a former financial advisor accused of recommending high-risk private investments tied to his personal business interests. Investors have alleged significant financial…
Read More Outside Investments What Is Selling Away? Investor Risks, Rules & Legal Options
“Selling away” is when a broker or financial advisor sells investment products without their firm’s approval or oversight. This practice can seriously harm investors by exposing them to risky or potentially fraudulent investments. Understanding what selling…
Read More Alternative Investment SEC Charges Arete Wealth and Associates in Illegal Securities Offering
On January 17th of this year, the U.S. Securities and Exchange Commission (SEC) filed a complaint against the broker-dealer firm Arete Wealth Management LLC and associates tied to the firm. They filed this complaint in Illinois federal court, alleging that…
Read More Current Investigations Walton Land Fund Exposed!
Dr. Craig McCann and his firm, Securities Litigation Consulting Group, examined the Walton Land Fund 3 private placement and determined that “Walton launders extraordinary fees through property transactions and reports inflated fair values for property…
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Alternative Investment Center Street Securities Inc. of Nashville, TN, a previously licensed FINRA broker-dealer, is closing after 30 years. Registered representatives continue to operate under Arete Wealth Management.
In November of 2023, Center Street Securities (CS) notified the Financial Industry Regulatory Authority Inc. (FINRA) that it was terminating its affiliation as a licensed securities broker-dealer. Center Street sold numerous troubled alternative investments…
Read More Alternative Investment Arete Wealth Management Pays Over $1 Million in Investor Claims
Arete Wealth Management, a Chicago-based broker-dealer firm focused on alternative investments, has paid out more than $1.1 million in settlements to investors in Q1 2024. The particular reasons for the settlements remain unclear, but Arete Wealth states that…
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Current Investigations Railroad Worker Wins $1.2 Million Arbitration Claim Against Brokerage Firm
Donald Saunders, a former railroad worker, recently won a groundbreaking $1.2 million arbitration claim against Concourse Financial Group Securities Inc., thanks to the efforts of his attorney, Bruce Oakes of Oakes & Fosher law firm. Saunders accused his…
Read More Alternative Investment Did You Suffer Losses in the Greenbacker Renewable Energy Fund?
The Greenbacker Renewable Energy Fund recently suspended its distributions, and investors are not receiving the regular payments they were promised. This investment product was extremely speculative , with large hidden costs , and highly illiquid.
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Investment Fraud How Long Does the FINRA Arbitration Process Take?
The Financial Industry Regulatory Authority (FINRA) provides a forum for mediation and arbitration to resolve disagreements and protect investors. In general, a dispute based on your financial advisor’s misconduct could take 12 to 18 months to resolve.
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