FINRA sanctioned securities broker Brett Arthur Hartvigson [CRD: 2263087, San Diego, California], and investors might have sustained losses because of him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hartvigson worked for Independent Financial Group LLC from April 6, 2009, to October 27, 2023. Here’s more about Hartvigson’s disclosures. Financial Industry Regulatory […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Jack Robert Thacker Jr. [CRD: 2754773, Bristol, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thacker worked for Center Street Securities Inc. from December 3, 2007, to October 10, 2023. Continue reading to learn […]

The company known as Strategic Student Senior Housing Trust Inc., which is based in Irvine, California, is in the business of owning and managing places where students and seniors live. This company, which doesn't trade its shares on the usual stock exchanges, had plans to make money and grow by investing in these very specific […]

On November 5, 2013, the U.S. Securities and Exchange Commission approved ATEL 16 LLC, a venture that set out to pool funds into a collection of basic technology equipment, then lease them to leading U.S. companies, referred to as high quality corporate credits. With a goal to raise $150 million in equity, ATEL 16 marked […]

TriLinc Global Impact Fund LLC focuses on impact investing, which means giving loans to Small and Medium Enterprises (SMEs) in developing countries. Investor Concerns About TRLC At first, the idea of making money and helping society sounded great. But things haven't gone well for TriLinc Global Impact Fund LLC. By September 30, 2023, the value […]

Capstone Green Energy Holdings Inc., previously known as Capstone Green Energy Corporation, recently emerged from Chapter 11 bankruptcy. Specializing in microturbine technology, Capstone has been a player in the on-site power generation industry for over three decades. Despite its innovative products and services aimed at reducing energy costs and carbon footprint, the company has faced […]

Investors might have sustained losses because of securities broker Luke Michael Johnson [CRD: 3257008, Scottsdale, Arizona]. Johnson worked for Coastal Equities Inc. from April 3, 2012, to December 13, 2019. Below, you'll find information about some investor disputes concerning Johnson. You'll also learn more about a recent FINRA case where the regulator sanctioned him for […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker David Bruce McMillen [CRD: 1198070, Boulder, Colorado], given the disclosures on FINRA BrokerCheck. Evidently, McMillen joined Crown Capital Securities LP on January 2, 2003. During his employment, clients filed complaints about his sales practices. Continue reading to uncover […]

Investors might have sustained losses due to securities broker Austin Richard Dutton Jr. (also known as Austin Duttin) [CRD: 2739167, Doylestown, Pennsylvania], according to disclosures on FINRA BrokerCheck. Evidently, Dutton worked for several securities firms. This includes American Trust Investment Services Inc. from June 15, 2021, to January 7, 2022, in Doylestown, PA, and Primex […]