by Jeff Pederson | Dec 18, 2025 | Federal Securities Laws, FINRA Allegations, State securities laws
Spartan Capital churning cost investors who trusted the firm. Victims of Spartan Capital churning should seek legal representation. Churning is an action where a broker recommends trades, often frequent trades, that serve the broker’s interest over the...
by Jeff Pederson | Oct 28, 2025 | Colorado Securities Act, Real Estate Investment, State securities laws
A Colorado grand jury indicted Michael Graham on two counts of securities fraud. A Colorado grand jury indicted Michael Graham on two counts of securities fraud on August 15, 2025. Authorities allege Graham sold fraudulent investments meant to benefit economically...
by Jeff Pederson | Oct 15, 2025 | Alt investment, Real Estate Investment, State securities laws
Inspired Healthcare DST investors suffered from fraudulent accounting and possibly bad diligence by Emerson Equity. Inspired Healthcare (IHC) Delaware Statutory Trusts (DST) such as Eatonton, Carson Valley and San Marcos, and Emerson Equity Bridge Fund I are...
by Jeff Pederson | Oct 1, 2025 | Alt investment, FINRA Allegations, State securities laws
Mass. Regulators accuse Javelin Securities of inadequate disclosures and employing an individual barred from the securities industry. Massachusetts regulators accuse Javelin Securities of multiple securities violations between 2020 and 2024. This includes: (1) failing...
by Jeff Pederson | Sep 10, 2025 | Alt investment, Colorado Securities Act, SEC Allegations, State securities laws
Tom Vukota settled SEC charges of fiduciary breach and fraud at VCM. The Securities and Exchange Commission (SEC) settled charges against former Colorado resident Tomislav Vukota aka Tom Vukota (Vukota). The settlement included the two investment adviser entities he...
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