Jan Haynes Orchestrated Apollo Income Fund Fraud
Jan Haynes (CRD# 833875) has been sanctioned by the Financial Industry Regulatory Authority and named in a pending enforcement action by the California Department of Financial Protection and Innovation. According to his FINRA-maintained BrokerCheck report, last accessed on February 3, 2022, Mr. Haynes was most recently registered with Integrity Brokerage Services in La Jolla, California. […]
California Revokes Jeff Borneman’s Investment Adviser License
On June 2, 2021, the California Department of Financial Protection and Innovation revoked the investment adviser licenses of Jeff Borneman (CRD 1519729) and Rampart Portfolio Partners. Here is a copy of the order revoking the licenses: Did You Lose Money Investing? Notice: JavaScript is required for this content. Print this Article
Synergist Wealth Advisors Enters Consent Order Over Advisory Fees
Synergist Wealth Advisors and Paula De Vos (CRD 4320748) entered into a consent order with the California Department of Business Oversight. The consent order resolves a complaint that Synergist Wealth Advisors failed to disclose increases in advisory fees. Both the firm and Paula De Vos are parties to the consent order. Here is a copy […]
Bright Light Advisors Enters Consent Order with California
Hungkwang Wu (CRD #1585449), who is also known as Hung Kwang Wu, or David H. Wu and Bright Lights Advisors have entered into a consent order with the State of California. The order resolves complaints related to Bright Lights failure to provide documents to the state. Print this Article
Patrick Beresh Enters Consent Order over Preferential Trading
Patrick Beresh (CRD #3113695) of PMB Advisors has entered into a consent order with the state of California. The order resolves complaints related to block trading activity. According to the order, Patrick Beresh showed preferential allocation of profits on a stock called Soliton Inc. (SOLY). Did You Lose Money with Patrick Beresh? Notice: JavaScript is […]
Peter Cunningham Enters Consent Order over UIT Sales
Beverly Hills, California advisor Peter Cunningham (CRD #2400211) entered into a consent order with the state of California. The order resolves complaints related to short term trading of UITs at StockCross. According to information accessed from FINRA on November 11, 2021, Peter Cunningham is currently registered with Muriel, Siebert & Co. as well as Siebert […]