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Tag: Real Estate Investment Trust

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iCap Enterprises, Inc. Files for Chapter 11 Bankruptcy, Leaving Investors Facing Large Losses

The Wolper Law Firm previously announced that it was investigating claims against brokerage firms and investment advisors that recommended that clients invest in the family of private placement offerings issued by iCap Enterprises, Inc.  Most of the iCap Enterprises securities are in the real estate sector. On September 29, 2023, iCap Enterprises and all of […]

Financial Advisor Daniel Loy Has Four Disclosed Customer Complaints

Daniel Loy (CRD#: 3029654) is a dually registered Investment Advisor and Broker at Independent Financial Group, LLC in Milpitas, CA. Broker’s Background He entered the securities industry in 1998 and previously worked for Voya Financial Advisors, Inc.; MetLife Securities, Inc.; Metropolitan Life Insurance Company; Mony Securities Corporation; and Citicorp Investment Services. Current And Past Allegations […]

Financial Advisor Ryan T. Fleming (Royal Alliance Associates, Inc.) Customer Complaints

Ryan T. Fleming (CRD#: 4378425) is a dually registered Broker and Investment Advisor at Royal Alliance Associates, Inc. in Bellevue, WA. He entered the securities industry in 2001 and previously worked for Hornor, Townsend & Kent, LLC; and Advisory Resource Group, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Recent Non-Traded REIT Announcements Signal Trouble on the Horizon for Investors

The Wolper Law Firm, P.A. continues to investigate various brokerages who oversold Non-Traded Real Estate Investment Trusts (“Non-Traded REITs”) to retail customers. In recent months, the number of non-traded REITs reporting low trading prices and reduced or ceased dividends has increased, threatening not just the income that investors were hoping for but jeopardizing their capital […]

Financial Advisor Cynthia Cowden (NPB Financial Group, LLC) Customer Complaints

Cynthia Cowden (CRD # 2054676) was last registered at NPB Financial Group, LLC, in Lake Isabella, CA. Cynthia Cowden was in the securities industry from 1990 to 2020. Cynthia Cowden’s employment history includes Tricor Financial Group, LLC, Next Financial Group, Inc., and Advantage Capital Corporation. According to publicly available records released by the Financial Industry […]

Recovering Your Investment Losses In Non-Traded Real Estate Investment Trusts And Business Development Companies

Over the last two years, the Wolper Law Firm, P.A. has received calls from dozens of clients, who purchased shares of non-traded real estate investment trusts (“Non-Traded REITs”) and non-traded business development companies (“BDCs”). Most of these clients purchased the Non-Traded REITs and BDCs between 2013-2016 with assurances made by Financial Advisors that they would […]

Financial Advisor Herman Khan (Kestra Investment Services, LLC) Customer Complaints

Herman Khan (CRD # 1866522) was a Financial Advisor at Kestra Investment Securities, LLC in Pittsburgh, PA. Herman Khan has been in the securities industry since 1992 and previously worked at Raymond James Financial Services, Inc. and Royal Alliance Associates, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Herman […]

Financial Advisor Gary Barth (Ameritas Investment Corp.) Customer Complaints

Gary Barth (CRD # 2466996) is a Financial Advisor at Ameritas Investment Company, LLC in Kearney, NE. Gary Barth has been in the securities industry since 1994. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Gary Barth has been the subject of four (4) customer complaints, alleging sales practice misconduct: […]

Financial Advisor Mercer Hicks III (Southeast Investments) Customer Complaints

Mercer Hicks III (CRD # 245170) is a Financial Advisor at Southeast Investments in Pinehurst, North Carolina. Mercer Hicks III has been in the securities industry since 1972 and previously worked at Capital Investment Group and Cantella & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 1, […]