Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
Read MoreCategory Archives: Uncategorized
Vistia Capital: FINRA Censures, Fines Colorado Firm
Lone Tree, Colorado broker-dealer Vistia Capital (CRD# 311342) was recently censured and fined in connection with alleged rule violations. According to a Letter of Acceptance, Waiver, and Consent (No. 2022075203301), the enforcement action stemmed from allegations involving the outside business activities (OBAs) of firm representatives.
InEnTec Inc. Files Chapter 11 Bankruptcy: Investors Who Bought InEnTec Notes or Shares Through MD Global Partners May Be Able to Recover Losses
InEnTec Inc., the Bend, Oregon-based plasma-gasification technology company (formerly known as InEnTec LLC and Integrated Environmental Technologies LLC), filed for Chapter 11 bankruptcy on September 28, 2026 in the United States Bankruptcy Court for the Eastern District of Washington (Case No. 26-01925-11). An affiliate, InEnTec Columbia Ridge LLC, participated in the same financing program…. Read More »
Campus Walk, DST Files for Chapter 11 Bankruptcy: 1031-Exchange Investors Sold the DST by PriMex May Have Claims
Campus Walk, DST — a Delaware Statutory Trust sponsored out of Aliso Viejo, California that held student-housing real estate — filed a voluntary Chapter 11 petition on July 17, 2026 in the United States Bankruptcy Court for the Eastern District of California (Case No. 26-13301). For the investors who exchanged into the trust, many… Read More »
Transaction Technology Systems Files Chapter 11 Bankruptcy: Investors Who Bought Its Notes Through Carolina Financial Securities or Carofin May Have Recovery Options
Transaction Technology Systems, Inc., a San Antonio, Texas technology company, filed for Chapter 11 bankruptcy protection on October 8, 2026 in the United States Bankruptcy Court for the Western District of Texas (Case No. 26-52871). The filing is bad news for the investors who purchased the company’s promissory notes in private placements over the… Read More »
Buddy Mason: FINRA Bars Ex-LPL Advisor
Former Lakeland, Florida financial advisor Buddy Mason (CRD# 1721391) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with LPL Financial, doing business as Allen & Company.
Trevor Uhls: Carlson Law Represents Alleged Ponzi Scheme Victims
Carlson Law represents 13 alleged victims of former Lee’s Summit, Missouri, financial professional Trevor Uhls, who has been charged by federal prosecutors with allegedly operating a Ponzi scheme that defrauded investors of millions of dollars.
Don D’Adesky: Raymond James Advisor Received Suitability Complaint
Boca Raton, Florida financial advisor Don D’Adesky (CRD# 1703816) allegedly recommended unsuitable investments, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Shanna Kehoe: Investor Complaint Against Carson Wealth Advisor
Las Vegas, Nevada financial advisor Shanna Kehoe (CRD# 4736468) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cetera broker is currently registered as an investment advisor with CWM, also known as Carson Wealth.
Douglas Behnfield: $4.2mm Complaint Against Morgan Stanley Advisor
Boulder, Colorado financial advisor Douglas Behnfield (CRD# 840887) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Chris Angelino: Misrepresentation Complaint Against Merrill Advisor
A recent investor complaint against Huntersville, North Carolina financial advisor Chris Angelino (CRD# 2685937) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
