Tag Archives: Investments

The SEC Orders PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management Inc. to Pay $12 Million to Harmed Clients

On April 6, 2018, the Securities and Exchange Commission (“SEC”) announced that three investment advisors, PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management (the “Advisors”) have settled charges with the SEC. The Advisors paid $12 million in … Continue reading

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Gary Haack-Former Corecap Investments Broker-Discloses Settlement of Customer Dispute-San Antonio, TX

April 2018- San Antonio, Texas According to publicly available records Gary C. Haack  (CRD#2796834) ,  a  stockbroker who is not currently registered with any broker dealer and who was last employed by Corecap Investments ,  discloses  2 prior customer disputes. The Financial Industry Regulatory … Continue reading

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Insurance and California Real Estate Investments

Author: Staff Investing in California real estate is, ultimately, a gamble. Even the most experienced and savvy investor cannot know what will happen to the property years, months, weeks, or even moments from now. Risk management is therefore one of the … Continue reading

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Kenneth Katz Allegedly Recommended Unsuitable Investments in Puerto Rico Bonds

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that former New Jersey-based Oppenheimer & Company broker/adviser Kenneth Katz is involved in a pending customer dispute and is currently not affiliated … Continue reading

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Customer Alleged Michael Kahn Failed to Follow Instructions and Recommended Unsuitable Investments

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that Florida-based Merrill Lynch broker/adviser Michael Kahn is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors … Continue reading

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