by Jeff Pederson | Dec 6, 2021 | Uncategorized
If you invested with Eric Carl Willer of Fusion Analytics please call 303-300-5022. From January 2017 to December 2018, Willer recommended that 13 potential investors purchase bonds in two private offerings without having a reasonable basis to believe that the bonds...
by Jeff Pederson | Sep 16, 2021 | Uncategorized
On July 13, 2021, NEXT Financial entered into a regulatory settlement for excessive trading. In the settlement, the regulator censured, fined $750,000 and required NEXT to certify that it has implemented supervisory systems and procedures reasonably designed to...
by Jeff Pederson | Mar 20, 2019 | Uncategorized
Investors of Judith Johnston of Frisco, formerly employed by NY Life, may have recourse for investment products sold to them. Ms. Johnston was recently barred from the securities industry for failing to comply with an investigation into her annuity and insurance...
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