Law

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.

Edward Jones Advisor Albert DeGaetano Fined and Suspended for Unauthorized Trades, Bogus Business Cards

Edward Jones Advisor Albert DeGaetano Fined and Suspended for Unauthorized Trades, Bogus Business Cards

Allegations of executing several hundred unauthorized trades and making up a title and position at a clearing firm where he was never an employee have earned for financial advisor Albert DeGaetano a FINRA (Financial Industry …

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JP Morgan Advisor Antoine Souma Sanctioned by FINRA

JP Morgan Advisor Antoine Souma Sanctioned by FINRA for Inaccurate and Misleading Reports

A 21-year veteran of the brokerage industry and apparently a well-regarded one, Los Angeles-based Antoine Souma, has been fined $20K and placed on suspension for two months by the Financial Industry Regulatory Authority (FINRA). The …

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William “Eddy” Torriente (Comerica Securities) $50 Million Complaint

William “Eddy” Torriente (Comerica Securities) $50 Million Complaint Filed For Unauthorized Trading

A FINRA (Financial Industry Regulatory Authority) case was filed in March 2021 by a customer of Comerica Securities, where William “Eddy” Torriente, Jr. was employed at the time, claiming that he was in violation of …

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Investors Lawsuits Against Northstar Bermuda Surge

Sarah Komischke (Xiao Qin Komischke) Hit With $500K Northstar Financial Services Arbitration Lawsuit

Raymond James Financial Services has been slapped with a Financial Industry Regulatory Authority (FINRA) arbitration claim for losses incurred in investments in products of Northstar Financial Services (Bermuda). Former Raymond James broker Sarah Komischke, also …

Sarah Komischke (Xiao Qin Komischke) Hit With $500K Northstar Financial Services Arbitration Lawsuit Read More »

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