by Jeff Pederson | Nov 7, 2025 | Insurance
FINRA alleges annuity switching fraud at Supreme Alliance and the broker failed to detect and stop it. FINRA alleges, that between September 2019 and May 2022, Supreme Alliance failed to take appropriate actions to prevent annuity “switching fraud.”...
by Jeff Pederson | Nov 3, 2025 | Alt investment, FINRA Allegations
FINRA accuses First Trust Portfolios of giving brokers inappropriate gifts tied to product sales. Regulators accuse First Trust Portfolios of making inappropriate payments to brokers. FINRA, the Financial Industry Regulatory Authority, alleges First Trust gave...
by Jeff Pederson | Oct 29, 2025 | Alt investment, FINRA Allegations
FINRA fines and suspends Joseph Kelly over numerous alleged violations of numerous securities regulations. August 22, 2025, FINRA issued an AWC, a regulatory settlement, in which fined Joseph Kelly $10,000, suspended him from association with any FINRA member in all...
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 13, 2025 | Alt investment, SEC Allegations
Investors may have recourse for Point Bonita loss. We are investigating negligence and fraud for investors suffering Point Bonita loss. The Jefferies Financial Group concentrated Point Bonita in First Brands. First Brands declared bankruptcy in October 2025. The...
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