(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...

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...

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 member - with...

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,...

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”)....

July 1, 2021 – An AWC was issued in which Bowman was fined $10,000 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the findings, Bowman consented to the sanctions and to the entry of findings that...