by Jeff Pederson | Sep 26, 2025 | FINRA Allegations
Sean Sullivan of Aegis is alleged to have victimized investors and withheld a burglary charge. On June 24 and 28, 2022, regulators allege Sean Sullivan placed 14 trades of more than $250,000 in the accounts of four customers without their authorization. Also, from...
by Jeff Pederson | Sep 22, 2025 | Colorado Securities Act, FINRA Allegations
Isaak Bond Investments settled charges of accounting irregularities making the firm look healthier than its true condition. On, July 7, 2025, Isaak Bond Investments (IBI) entered into a settlement with regulators for failing to be adequately capitalized. FINRA, the...
by Jeff Pederson | Sep 15, 2025 | Alt investment
Advisors recommended Centurian Apartment REIT for its income generation and liquidity, which is now in peril. On September 15, 2025, Centurian Apartment REIT, the $7.9 billion real estate investment trust, limited investor redemptions. This is the report of Canadian...
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...
by Jeff Pederson | Sep 5, 2025 | Uncategorized
Bluerock Total Income+ never stacked up to be the moderate investment advisors represented. Bluerock Total Income+ investors hoped that going public would solve their problems. This investment that brokers and advisors touted as safe is looking to list for a price...
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