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There are over 18 million veterans in the United States, making them prime targets for fraud. Fraudsters often target groups with shared backgrounds and interests, making veterans and their families vulnerable to investment scams. Some scammers may even pretend to be veterans themselves. Recognizing Fraudulent Investment Schemes Investment fraud comes in many forms, with scammers […]
The Financial Industry Regulatory Authority (FINRA) has issued an AWC (Acceptance, Waiver, and Consent) against Juan Carlos Sosa (CRD #4059846), barring him from association with any FINRA member in all capacities. This action comes after Sosa was found to have converted over $331,000 from an elderly customer for his personal use. Background and Findings Juan […]
Bakhtiari & Harrison is currently investigating brokers nationwide who recommended their clients invest in iCap Equity, LLC. This high-risk Regulation D private placement was unsuitable for many investors. iCap Equity, LLC Private Placement Losses Regulation D private placements, like those from iCap Equity, LLC, are often not suitable for conservative and inexperienced investors. Unfortunately, many […]
On May 23, 2024, Bloomberg reported a significant development involving Starwood Real Estate Income Trust (REIT). Facing a severe liquidity crunch, Starwood REIT has imposed stringent redemption limits, a move that could have far-reaching implications for investors. Starwood REIT, known for its diverse portfolio of high-quality real estate assets, has long been a popular choice […]
Investing is a significant financial decision, and choosing the financial advisor is paramount to safeguarding your investments. Due Diligence of Financial Advisors Is a Key First Step in the Hiring Process Due diligence is not just recommended; it is essential in today’s complex financial marketplace. The Financial Industry Regulatory Authority (FINRA) provides a vital due […]