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Did your financial advisor invest your money in Texas CKLV LLC, SRS Holdings LLC, Texas Wide Bore LLC, SRS Management LLC, or ONCO Group LLC?
Recently, a group of investors won a $5.7 million judgment following arbitration over a failed cancer treatment center involving these companies: Texas CKLV LLC, SRS Holdings LLC, Texas Wide Bore LLC, SRS Management LLC, or ONCO Group LLC . The investors in that case...
read moreFINRA bars broker Daniel Winger for stealing $100,000 from elderly client while at PFS Investments
FINRA has barred broker Daniel Winger, who was affiliated with PFS Investments for 31 years. From 2015 to 2018, an elderly customer gave Daniel Winger checks totaling nearly $100,000. The checks were made out to Dan Winger and Associates, and the customer believed...
Should I Purchase A Private Placement Investment?
A well-known method for companies to raise capital is an Initial Public Offering (IPO), in which the company sells its stock publicly for the first time. As opposed to IPOs, many business entities use “Private Placements” as an alternative route to raise capital....
Trade Churning at Wells Fargo Putting Investors in Financial Danger
In 2016, Wells Fargo made national headlines through an account fraud scandal in which employees created millions of fake bank accounts without the consent of customers. This scheme caused thousands of clients to rack up extra fees, simultaneously harming consumers’...
What to Do if Your Financial Advisor is Churning Your Account
Trade churning is a serious problem for many investors. You place your accounts in the hands of a financial advisor or broker, trusting them to grow your money and keep the account costs and fees low. However, some advisors will take advantage of this trust and force...
Investors Lose Over $100M to Investment Scam Run by Former Felon
Imagine that you’re a retired investor looking to increase the returns on your portfolio. Now imagine that your advisor – a person you trust to guide some of your largest financial decisions – approaches you with a suggestion to invest approximately $78,000 in a...
FINRA Warning: Initial Coin Offering (ICO)-Related Scams
Cryptocurrency is a digital, decentralized form of currency that uses encryption (hence the prefix “crypto-”) to give users more privacy than transactions conducted using checks, credit cards, or debit cards. This partial anonymity – combined with massive increases in...