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Risks of Over-Concentrated Securities Portfolio

An over-concentrated securities account is one where a significant portion of the portfolio is invested in a single security or a small group of securities. This can lead to a number of problems, such as: Increased Risk: Investing a large portion of one’s portfolio in a single security or a small group of securities increases […]

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SEC Charges Genesis and Gemini for the Unregistered Offer and Sale of Crypto Asset Securities through the Gemini Earn Lending Program

The Securities and Exchange Commission today charged Genesis Global Capital, LLC and Gemini Trust Company, LLC for the unregistered offer and sale of securities to retail investors through the Gemini Earn crypto asset lending program. Through this unregistered offering, Genesis and Gemini raised billions of dollars’ worth of crypto assets from hundreds of thousands of […]

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FINRA Suspends Broker Efrain Trujillo After Borrowing Money From Customers

Efrain Trujillo (CRD# 3106482) is a previously registered broker and investment advisor whose last known employer was Western International Securities, Inc. of Los Angeles, CA. His previous employers were Financial West Group and SRM Securities, Incorporated. Trujillo was in the securities industry since 1998. Trujillo has three FINRA actions in his CRD. The most recent […]

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Crypto Losses Mount, Most Investors Underwater According to New Study

Crypto peaked a year ago — investors have lost more than $2 trillion since. Most retail investors using crypto exchange apps have lost money on Bitcoin, a new data study suggested. About three-quarters of users are likely to have lost money on their investments in cryptocurrencies, according to data crunched by the Bank for International […]

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Recovery of Investor Losses in The Parking REIT

The Parking REIT, a non-traded REIT formed in December 2017 by the merger of MVP REIT and MVP REIT II, invests primarily in parking lots and garages in the United States. Investors who bought into The Parking REIT may have suffered losses due to illiquidity, lack of transparency in valuation, and substantial conflicts of interest. […]

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