Former New York City financial advisor Deyon Robertson (CRD# 7493659) has been suspended in connection with allegedly improper investment recommendations....
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Lipella Pharmaceuticals Bankruptcy — Spartan Capital Securities and H.C. Wainwright Investors May Have Claims
Lipella Pharmaceuticals Inc. (formerly Nasdaq: LIPO), a Pittsburgh clinical-stage drug developer, filed a voluntary Chapter 11 petition in the United States Bankruptcy Court for the Western District of Pennsylvania on March 30, 2026 (Case No. 26-20879). In the fifteen months before that filing, the company raised millions of dollars from investors in a series… Read More »
Mare Island Dry Dock Files Chapter 11 in California: Taglich Brothers Placed Four Private Offerings in the Company Since 2017
Mare Island Dry Dock, LLC, the ship-repair operator on the former naval base in Vallejo, California, filed for Chapter 11 on February 14, 2026 in the United States Bankruptcy Court for the Eastern District of California (Case No. 26-20777). Court records put the company’s liabilities between $10 million and $50 million. For investors, the… Read More »
Fairway America Chapter 11 Filing Leaves Fund VI, Fund VII and Fund VIIQP Investors Exposed — North Capital Private Securities Named on Every Form D
Portland, Oregon-based Fairway America, LLC — the manager behind a family of private real-estate credit funds — sought Chapter 11 protection in the United States Bankruptcy Court for the District of Oregon on July 8, 2026 (Case No. 26-32378), along with Fairway America Management Group II LLC. Investors in the Fairway America funds now… Read More »
Inspired Healthcare Capital Holdings Bankruptcy: Were You Sold the Inspired Healthcare Capital Fund by Berthel Fisher, Newbridge, Capital Financial Services or Another Broker?
On February 2, 2026, Inspired Healthcare Capital Holdings, LLC filed a Chapter 11 petition in the United States Bankruptcy Court for the Northern District of Texas (Case No. 26-90004). The bankruptcy schedules list liabilities in the $1 billion to $10 billion range — an extraordinary figure for a Scottsdale, Arizona sponsor whose business was… Read More »
Vistia Capital: FINRA Censures, Fines Colorado Firm
Lone Tree, Colorado broker-dealer Vistia Capital (CRD# 311342) was recently censured and fined in connection with alleged rule violations. According to a Letter of Acceptance, Waiver, and Consent (No. 2022075203301), the enforcement action stemmed from allegations involving the outside business activities (OBAs) of firm representatives.
InEnTec Inc. Files Chapter 11 Bankruptcy: Investors Who Bought InEnTec Notes or Shares Through MD Global Partners May Be Able to Recover Losses
InEnTec Inc., the Bend, Oregon-based plasma-gasification technology company (formerly known as InEnTec LLC and Integrated Environmental Technologies LLC), filed for Chapter 11 bankruptcy on September 28, 2026 in the United States Bankruptcy Court for the Eastern District of Washington (Case No. 26-01925-11). An affiliate, InEnTec Columbia Ridge LLC, participated in the same financing program…. Read More »
Campus Walk, DST Files for Chapter 11 Bankruptcy: 1031-Exchange Investors Sold the DST by PriMex May Have Claims
Campus Walk, DST — a Delaware Statutory Trust sponsored out of Aliso Viejo, California that held student-housing real estate — filed a voluntary Chapter 11 petition on July 17, 2026 in the United States Bankruptcy Court for the Eastern District of California (Case No. 26-13301). For the investors who exchanged into the trust, many… Read More »
Transaction Technology Systems Files Chapter 11 Bankruptcy: Investors Who Bought Its Notes Through Carolina Financial Securities or Carofin May Have Recovery Options
Transaction Technology Systems, Inc., a San Antonio, Texas technology company, filed for Chapter 11 bankruptcy protection on October 8, 2026 in the United States Bankruptcy Court for the Western District of Texas (Case No. 26-52871). The filing is bad news for the investors who purchased the company’s promissory notes in private placements over the… Read More »
Buddy Mason: FINRA Bars Ex-LPL Advisor
Former Lakeland, Florida financial advisor Buddy Mason (CRD# 1721391) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with LPL Financial, doing business as Allen & Company.
Trevor Uhls: Carlson Law Represents Alleged Ponzi Scheme Victims
Carlson Law represents 13 alleged victims of former Lee’s Summit, Missouri, financial professional Trevor Uhls, who has been charged by federal prosecutors with allegedly operating a Ponzi scheme that defrauded investors of millions of dollars.
