FINRA issued a regulatory fine for Gary Richard Scheer following allegations of breaching fiduciary duties to clients by recommending and selling unregistered securities tied to Ponzi schemes.…

The Business Development Corporation of America (BDCA) was a speculative and high risk closed-end management investment company which was structured as a business development company. If you were…

Noble Royalties sponsored a variety of funds, named the Noble Royalty Access Funds. The units of the Funds were not registered with the Securities and Exchange Commission, and they did not trade…

Investors who were sold the Watermark Lodging Trust REIT have suffered dramatic losses. Shares were originally sold to investors at $10 a share. In November 2020 the company declared its net asset…

The FS Energy & Power Fund was a speculative and high risk investment which was structured as a Business Development Company. Typically Business Development Companies (BDCs) are not registered…

GPB Capital has been accused of running a Ponzi-like scheme that defrauded thousands of investors across the country. As many as 17,000 investors have been affected according to the SEC. The…

Investors in ATEL 15, ATEL 16, and ATEL 17 may have suffered losses of 50% or more of their investment principal based on secondary market trading data. ATEL 15, ATEL 16, and ATEL 17 were risky…

Mark Allen Barrand, a broker and investment adviser currently employed by Ameriprise Financial Services, is the subject of multiple customer disputes, according to a…

Michael Calvin is a registered FINRA-regulated broker with 19 years of experience between seven firms. Mr. Calvin has previously been registered with:

1. UBS Financial Services Inc.…

Financial Industry Regulatory Authority’s (FINRA) BrokerCheck reports that previously…