Tagged with "improper investment"

Investment Losses with Rogers Realty Mezzanine Fund

Posted on February 19th, 2015 at 11:00 AM
Investment Losses with Rogers Realty Mezzanine Fund

Eccleston Law offices are investigating Rogers Realty Mezzanine Fund and Spectrum Realty Mezzanine Fund, which are complex, high-risk investments, and generally are only appropriate for sophisticated or institutional investors. 

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December 3, 2021
FINRA Issues Fine to Small Advisory Firm Over Material Misrepresentations

The Financial Industry Regulatory Authority has censured and issued a $250,000 fine to a Los Angeles-based advisory firm, WestPark Capital Inc., for making material misrepresentations pertaining to promissory notes offered by its parent company.

December 2, 2021
FINRA Imposes Suspension on Ohio-Based Advisor Over Outside Investments

The Financial Industry Regulatory Authority (FINRA) has issued a one-year suspension and $12,500 fine to an Ohio-based advisor, William LeBoeuf, who worked at Merrill Lynch and Cetera Advisor Networks when the violations occurred.

December 1, 2021
SEC Charges Former Illinois Edward Jones Advisor With Fraud

The Securities and Exchange Commission (SEC) has charged a former Illinois-based investment advisor, Ronald Molo, with defrauding three clients out of at least $800,000.