Recent Posts

Apr 9, 2025

RBC Capital Markets LLC – CIP Leveraged Fund Advisors, LLC – Investor Alert!

Many investors have purchased CIP Leveraged Fund Advisors, LLC (“CLFA”) through an independent broker-dealer, RBC Capital Markets LLC (“RBC Capital”). CLFA was supposed to be a manager of Real Estate Investment Trusts (REITs), but failed miserably. RBC Capital is an independent broker-dealer in the United States who offered and sold CLFA to its best clients. RBC Capital is headquartered in New York, New York and reportedly has registered representatives across the United States operating in one or two person offices.

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Apr 9, 2025

Northland Securities, Inc. – CIP Leveraged Fund Advisors, LLC – Investor Alert!

Many investors have purchased CIP Leveraged Fund Advisors, LLC (“CLFA”) through an independent broker-dealer, Northland Securities, Inc. CLFA was supposed to be a manager of Real Estate Investment Trusts (REITs), but failed miserably. Northland Securities is an independent broker-dealer in the United States who offered and sold CLFA to its best clients. Northland Securities is headquartered in Minneapolis, Minnesota and reportedly has registered representatives across the United States operating in one or two person offices.

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Apr 9, 2025

Investors Capital Corp. – CIP Leveraged Fund Advisors, LLC – Investor Alert!

Many investors have purchased CIP Leveraged Fund Advisors, LLC (“CLFA”) through an independent broker-dealer, Investors Capital Corp. CLFA was supposed to be a manager of Real Estate Investment Trusts (REITs), but failed miserably. Investors Capital is a mid-size independent broker-dealer in the United States who offered and sold CLFA to its best clients. Investors Capital is headquartered in Lynnfield, Massachesetts and reportedly has over 500 registered representatives across the United States operating in one or two person offices.

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Apr 9, 2025

Intervest International Equities Corp. – CIP Leveraged Fund Advisors, LLC – Investor Alert!

Many investors have purchased CIP Leveraged Fund Advisors, LLC (“CLFA”) through an independent broker-dealer, Intervest International Equities Corp. (“Intervest International”). CLFA was supposed to be a manager of Real Estate Investment Trusts (REITs), but failed miserably. Intervest International is an independent broker-dealer in the United States who offered and sold CLFA to its best clients. Intervest International is headquartered in Colorado Springs, Colorado and reportedly has registered representatives across the United States operating in one or two person offices.

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Apr 9, 2025

Harvest Capital LLC – CIP Leveraged Fund Advisors, LLC – Investor Alert!

Many investors have purchased CIP Leveraged Fund Advisors, LLC (“CLFA”) through an independent broker-dealer, Harvest Capital LLC. CLFA was supposed to be a manager of Real Estate Investment Trusts (REITs), but failed miserably. Harvest Capital is one of the smaller independent broker-dealers in the United States who offered and sold CLFA to its best clients. Harvest Capital is headquartered in Wethersfield, Connecticut and reportedly has over 70 registered representatives across the United States operating in one or two person offices.

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Apr 9, 2025

Financial West Group – CIP Leveraged Fund Advisors, LLC – Investor Alert!

Many investors have purchased CIP Leveraged Fund Advisors, LLC (“CLFA”) through an independent broker-dealer, Financial West Group (“Financial West”). CLFA was supposed to be a manager of Real Estate Investment Trusts (REITs), but failed miserably. Financial West is a mid-size independent broker-dealer in the United States who offered and sold CLFA to its best clients. Financial West is headquartered in Westlake Village, California and reportedly has over 340 registered representatives across the United States operating in one or two person offices.

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Apr 9, 2025

Equity Services, Inc. – CIP Leveraged Fund Advisors, LLC – Investor Alert!

Many investors have purchased CIP Leveraged Fund Advisors, LLC (“CLFA”) through an independent broker-dealer, Equity Services, Inc. CLFA was supposed to be a manager of Real Estate Investment Trusts (REITs), but failed miserably. Equity Services is an independent broker-dealer in the United States who offered and sold CLFA to its best clients. Equity Services is headquartered in Montpelier, Vermont and reportedly has registered representatives across the United States operating in one or two person offices.

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Apr 9, 2025

Cascade Financial Management, Inc. – CIP Leveraged Fund Advisors, LLC – Investor Alert!

Many investors have purchased CIP Leveraged Fund Advisors, LLC (“CLFA”) through an independent broker-dealer, Cascade Financial Management, Inc. (“Cascade Financial”). CLFA was supposed to be a manager of Real Estate Investment Trusts (REITs), but failed miserably. Cascade Financial is an independent broker-dealer in the United States who offered and sold CLFA to its best clients. Cascade Financial is headquartered in Denver, Colorado and reportedly has registered representatives across the United States operating in one or two person offices.

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Apr 9, 2025

Capital Financial Services, Inc. – CIP Leveraged Fund Advisors, LLC – Investor Alert!

Many investors have purchased CIP Leveraged Fund Advisors, LLC (“CLFA”) through an independent broker-dealer, Capital Financial Services, Inc. CLFA was supposed to be a manager of Real Estate Investment Trusts (REITs), but failed miserably. Capital Financial Services is an independent broker-dealer in the United States who offered and sold CLFA to its best clients. Capital Financial Services is headquartered in Minot, North Dakota and reportedly has registered representatives across the United States operating in one or two person offices.

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Apr 9, 2025

Oran Ben Carroll Fined and Suspended by FINRA for Violating Industry Rules Governing Due Diligence and Regulation D Offerings

Oran Ben Carroll, a former broker with Dallas, Texas based Cambridge Legacy Securities L.L.C., submitted a Letter of Acceptance, Waiver and Consent in which he consented to the entry of Financial Industry Regulatory Authority (FINRA) findings that, acting in his capacity as the president and a registered principal of Cambridge Legacy Securities, he failed to conduct adequate due diligence of private placements (PPMs) offered by Cambridge Petroleum Group (CPG). The five CPG offerings were the CPG 2005A, CPG 2005B, CPG 2006A, CPG Opportunity I, and CPG Opportunity II, and Mr. Carroll’s firm sold $22,900,000 in interests to its customers. Cambridge Legacy Securities also sold $900,000 in interests in the Cambridge Legacy Group (CLG) offering to its customers – Mr. Carroll is the CEO and Chairman of CLG.

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