Blog

Aidikoff, Uhl & Bakhtiari partner Ryan Bakhtiari to speak at 2017 Practicing Law Institute Securities Arbitration program

August 1, 2017

Aidikoff, Uhl & Bakhtiari partner Ryan Bakhtiari has been invited to participate as a speaker at the 2017 Practicing Law Institute (PLI) conference program on Wednesday, September 27, 2017. Mr. Bakhtiari’s panel is titled “Preparation for Expungement Hearings in Securities Arbitration.” This discussion will include topics, issues and procedures involved in arbitrating expungement matters. For […]

Former $2 billion private equity fund now nearly worthless – EnerVest Ltd.

July 18, 2017

Wells Fargo and a number of other lenders are negotiating to take control of a hedge fund previously valued at more than $2 billion that is now worth close to nothing, according to a report from the Wall Street Journal. EnerVest Ltd., a Houston private equity firm that focuses on energy investments, manages the private equity […]

EnerVest – $2 billion energy investment goes bust

July 17, 2017

A $2 billion EnerVest fund that invested in oil and gas wells has essentially gone bust. Major pensions and other investors could be left with just pennies on the dollar at best. The loss is unusual for a private equity firm of EnerVest’s size and raises concerns that similar funds offered by competitors could fail. […]

Calvin Moores barred, former IFG and Centaurus financial advisor

July 15, 2017

FINRA barred former Centaurus Financial Inc. (Fullerton, CA) and Independent Financial Group (Brea, CA) broker Calvin Edward Moores after he failed to cooperate with an investigation into allegations of improper conduct. Three settled customer disputes in Moores’ BrokerCheck report, with a total combined settlement of $212,500, alleged unauthorized trading, unsuitable recommendations and over concentration in high […]

Recovery for Woodbridge investors

July 3, 2017

Frank Capuano of Royal Alliance Associates, Inc. agreed to findings that he sold approximately $1.1 million in Woodbridge Mortgage Investment Funds notes to customers of the firm. Capuano also consented to findings that he failed to obtain written approval from his firm for these transactions. Initiated By FINRA Resolution Acceptance, Waiver & Consent(AWC) Sanctions Civil and Administrative Penalty(ies)/Fine(s) […]