Investigations
(March 4, 2024, San Diego, California). On June 7, 2022, National Realty Investment Advisors, LLC and certain of its affiliates (collectively, the “Debtors”) each filed a voluntary petition for relief under Chapter 11 of the United States Bankruptcy Code...
Investigations
(June 6, 2022, San Diego, CA) The securities fraud and elder financial abuse law firm of Richard A. Nervig, P.C. is investigating and offering free initial consultations to investors who purchased L-Bonds issued by GWG Holdings, Inc. (“GWG”). On April 20, 2022 GWG...
Investigations
According to a complaint filed on October 28, 2021 in the U.S. District Court for the Central District of California by the Securities and Exchange Commission, Newport Beach based BNZ ONE CAPITAL, LLC through it’s members, BRETT REED BARBER; and LOUIS ALFONSO ZIMMERLE...
Investigations
The Securities and Exchange Commission charged Laguna Niguel, California-based TCFG Investment Advisors, LLC (TCFG), TCFG’s affiliated broker-dealer TCFG Wealth Management, LLC (TCFG Wealth), and Richard James Roberts – their CEO, president, and managing...
Investigations
On August 23, 2021 the California Department of Financial Protection and Innovation issued a Desist and Refrain Order against Respondents stemming from their offer and sale of limited liability company membership interests of CalJet Air, LLC and CalJet Management,...
Investigations
On August 19, 2021 the California Department of Financial Protection and Innovation entered a Desist and Refrain Order against Craig A. Ponder, Sr. FWI Alternative Marketing, LLC Ponder Financial & Retirement Firm, Inc. (collectively referred to as “Respondents”)....
