We cover latest news on investor lawsuits, investigations and investment fraud. Unfortunately, investment fraud is very common, especially with seniors. We report on several different kinds of security fraud that includes Ponzi-Schemes, Bad Accounting and Improper Sales Practices.
A well-known financial advisor with a two-decade career at major Wall Street firms is under intense regulatory and legal scrutiny after a wave of investor complaints, a record FINRA suspension, and a multi-million-dollar customer settlement. […]
Several major financial firms have agreed to settlements over claims they charged clients too much for investment services. Edward Jones, LPL, Settle Charging Excessive Commissions stands as a prime example of this industry-wide problem. The
LPL, Edward Jones and Financial Firms Settle Charges For Excessive Commissions Read More »
The GWG Holdings bankruptcy story is a significant event in the financial world. In April 2022, this company filed for Chapter 11 protection after $1.6 billion was put into their L Bonds by investors. Liz
GWG Holdings Investor Recovery Options & Bankruptcy Read More »
New York, GPB Capital investors continue to wait for their money as the firm’s receivership process drags on. The receiver now has 45 days to propose a distribution plan for the $1.8 billion raised from
GPB Capital: Investors Await Funds and Loss Recovery Read More »
Investment fraud threatens Americans’ financial security at alarming rates. In 2024, scam losses jumped to $5.7 billion a 24% increase from last year. The average victim loses over $9,000, with FTC data showing 79% of
Investment Fraud Is On The Rise. Here’s How To Protect Yourself Read More »
SmartStop Self Storage REIT investors face major financial setbacks as the company’s shares trade at just $9.50 per share, far below their estimated value of $15.25. This real estate investment trust, which filed for a
SmartStop Self Storage REIT IPO, Lawsuit And Losses (NYSE: SMA) Read More »
A recent Ninth Circuit case has raised serious questions about Oppenheimer & Co. Inc.’s responsibility in a broker-run Ponzi scheme. The judge expressed doubts about holding the investment firm liable since affected investors were not
Legal Battle Unveils Oppenheimer’s Liability In Wood’s Ponzi Scheme Read More »
The investment world was rocked by a staggering $133 million arbitration penalty against Stifel Financial, marking one of the largest fines in Financial Industry Regulatory Authority (FINRA) history. The March 12, 2025 ruling holds the
Stifel Slammed with $133 Million Fine in Structured Note Case Read More »
In the fast-paced world of finance, where fortunes can rise or fall with the flick of a pen, it’s crucial to keep an eye on the players who shape the landscape. One such figure is
Iannazzo’s Fines and Ban: A Career at Stake Amid Appeal and Politics Read More »
Summit Healthcare REIT, a non-traded real estate investment trust (REIT), offers comprehensive services for the acquisition, leasing, and management of healthcare property assets. The REIT previously halted its buyback program and has yet to announce
Summit Healthcare REIT Declines 30% Read More »
Get free professional market insights and stock/ETF reports that contain actionable opportunities written by a former financial advisor and Capitalist who has been investing in the markets for 20+ years.
Get Free Stock Picks, Macro Market Events & Options Strategies.
