The SEC has filed a complaint in the U.S. District Court for the Middle District of Florida alleging that EquiAlt LLC, EquiAlt’s CEO, Brian Davison of Tampa, Florida, and EquiAlt’s Managing Director, Barry Rybicki, raised more than $170 million from at least 1,100 investors as part of a fraudulent unregistered securities offering.  Brian Davison formed […]

If you’ve lost money to broker fraud, you should consider seeking the counsel of an attorney who can represent you in arbitration and mediation proceedings before FINRA, the Financial Industry Regulatory Authority. How can you find a free FINRA attorney? Many law schools run clinics designed to help underserved investors recover lost funds. Why are […]

Rod Potratz (CRD#: 2367896), a registered representative with FSC Securities Corporation (CRD#: 7461) in Clive, Iowa, is currently involved in a customer dispute in which a client is seeking $6 million in damages, according to his BrokerCheck record accessed on February 4, 2020. What happened to lead to this dispute? On November 21, 2019, clients […]

Jeffrey Dixson (CRD#: 4166311), formerly a registered representative with Madison Avenue Securities, LLC (CRD#: 23224) in Vancouver, Washington, is currently involved in four pending customer disputes totalling $1 million. The dispute stem from allegations that he recommended unsuitable alternative investments to clients, according to his BrokerCheck record accessed on February 3, 2020. On July 18, […]

Bill Fox (CRD#: 1522234), a registered representative with First Allied Securities, Inc. (CRD#: 32444) in Austin, Texas, is currently involved in a customer dispute over non-traded real estate investment trusts (REITs), private placements, and annuities, according to his BrokerCheck record accessed on February 4, 2020. What happened to lead to this dispute? On November 15, […]

Robert Smith (CRD#: 1412333), a registered representative with Concorde Investment Services, LLC (CRD#: 151604) in Lake Oswego, Oregon, is currently involved in three customer disputes over GPB private placements, according to his BrokerCheck record accessed on February 3, 2020. GPB is accused of running a Ponzi scheme. In February 2019, the FBI raided the New […]

Kerry Wills (CRD#: 1353739), a registered representative with First Western Securities, Inc. (CRD#: 19537) in Manhattan Beach, California, has been suspended by the Financial Industry Regulatory Authority (FINRA) for borrowing $150,000 from a 90-year-old customer, according to his BrokerCheck record accessed on January 31, 2020. On January 27, 2020, Kerry Wills consented to FINRA’s findings […]

Kari Bracy (CRD#: 5656186), a former registered representative with NYLife Securities in Jacksonville Beach, Florida, has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) after she refused to provide requested information to FINRA as they were investigating her for selling Future Income Payments, according to her BrokerCheck record accessed on […]

The Securities and Exchange Commission (SEC) has charged former broker Ed Matthes (CRD# 2788055) with defrauding elderly investors out of $2.4 million. The SEC’s complaint, filed on January 28, 2020, alleges that, while a registered representative with Mutual of Omaha Investor Services, Inc. (CRD#: 611), Ed Matthes enticed elderly investors to transfer $1.4 million to […]

 The Securities and Exchange Commission (SEC) charged private investment firm ARO Equity LLC, as well as its principals, Thomas Renison and Timothy Allcott, with fraud, according to a litigation release issued on January 8, 2020. The SEC barred Thomas Renison from the securities industry in July 2014. However, the SEC alleges that Thomas Renison did […]

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