by Jeff Pederson | Feb 24, 2026 | Alt investment, Colorado Securities Act, General, SEC Allegations
Private credit loss recovery may be available for investors who did not want speculative investments. Investors may be entitled to recover losses private credit losses if their investment was not in their best interests when sold. A large portion of investors fall...
by Jeff Pederson | Nov 21, 2025 | General, SEC Allegations
Adam and Daniel Kaplan used their fiduciary position to defraud their clients. On November 13, 2025, a federal jury convicted investment advisors and twin brothers Adam and Daniel Kaplan of wire fraud conspiracy, wire fraud, investment advisor fraud, and money...
by Jeff Pederson | Nov 5, 2025 | Alt investment, General, Real Estate Investment
Investors brought multiple suits concerning Bart Harrison and the suitability of his investment recommendations. Investors filed four lawsuits in a three-year period concerning investment advice of Bart Harrison. These suits all allege that the recommendations were...
by Jeff Pederson | Sep 4, 2025 | Colorado Securities Act, General
Investors have recourse for the inappropriate asset allocation of their advisor. Inappropriate asset allocations can enrich advisors at the expense of investors. Investors have recourse when such misallocation occurs. On September 2, 2025, the CEO of Vanguard told...
by Jeff Pederson | Aug 1, 2025 | General
Todd Bernstein faces state felony charges for falsifying documents to allow inappropriate annuity switching. On July 31, 2025, the State of Michigan charged Todd Bernstein with felony charges for insurance fraud. Bernstein is identified as a financial advisor in...
by Jeff Pederson | Jul 18, 2025 | General
Private credit ETFs are often too high risk to be appropriately recommended by advisors. Over the past decade, private credit investments have become popular. The Federal Reserve Bank of Boston described the rise as “meteoric.” Private credit investments...
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