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...
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 | Sep 3, 2025 | FINRA Allegations
Network 1 sold private placements when it had concerns about the investment’s assets. On June 4, 2025, FINRA (the Financial Industry Regulatory Authority) issued Network 1 Financial Securities (Network 1) a censured, a $50,000 fine, and required undertaking...
by Jeff Pederson | Aug 24, 2025 | Colorado Securities Act, FINRA Allegations
Regulators charge that William Burks, of Centaurus in Dallas, inappropriately concentrated investors in REITs and BDOs. On August 15, 2025, federal regulators suspended William Burks. The charges stem from allegations that Burkes recommended too high of a...
by Jeff Pederson | Aug 19, 2025 | SEC Allegations
Stephen Swenson stole investor funds to support his mistresses and left his widow to pay the SEC. On July 31, 2025, the late wife of Stephen Swenson agreed to payback funds she received as part of her late husband’s scheme. She did this to settle SEC charges....
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