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.…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
Greenbacker Renewable Energy Recently Suspended Distributions The Greenbacker Renewable Energy Fund recently suspended its distributions, and investors are not receiving the regular payments they were promised. This investment product was…
Read More
Some FINRA-licensed brokerage firms sold investments in private placements sponsored by Walton Holdings. These investments were particularly speculative, with high enumerated and hidden costs. Investors in Walton Land Fund 3…
Read More
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…
Read More
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Dennis Fearing. According to his publicly available FINRA BrokerCheck report, Dennis Fearing has been…
Read More
What to Do When Your Stockbroker Recommends Unsuitable Investments The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker John Kevin Egan, who recommended…
Read More