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On February 14, 2024, the Securities and Exchange Commission (SEC) secured a final judgment against Zachary Horwitz for orchestrating a Ponzi scheme that deceitfully amassed over $690 million from investors. Horwitz had falsely claimed to be selling movie rights to prominent streaming services such as Netflix and HBO, boasting fabricated agreements and communications to support […]
Hamilton Point Investments, LLC is a sponsor of alternative investment offerings, such as HPI Real Estate Opportunity Fund IV. According to DI Wire, the company invests through a series of real estate private equity investment funds and 1031 exchange DST programs that purchase apartment communities in growing markets at below replacement cost. According to a […]
The Securities and Exchange Commission (SEC) has initiated securities fraud charges against Craig Allen for misleading investors in The Cheetah Fund L.P., an Atlanta-based hedge fund he founded and managed. This announcement underscores the ongoing risks investors face and highlights the importance of investor recovery strategies. From January 2019 to January 2023, Allen reportedly solicited […]
Bakhtiari & Harrison is investigating claims on behalf of customers of First Republic Securities customers whose financial advisors recommended investments in First Republic Bank stock which declined during the banking crisis in May 2023. Regulators seized First Republic Bank, which was purchased by JP Morgan and later closed. First Republic Bank Investor Claims Investigation In […]
The Financial Industry Regulatory Authority (FINRA) has announced disciplinary action against Matt Ward (CRD #2075525), fining him $5,000 and suspending him from association with any FINRA member in all capacities for 15 business days. This action follows findings that Ward exercised discretion in customer accounts without obtaining the necessary written authorization. Background and Findings Concerning […]