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.
The Securities and Exchange Commission has closed out an eight-year enforcement effort against Francis Biller, Raymond Dove, and three accomplices. The men ran a boiler room in Colombia that pumped more than $58 million out
Gilbert Russell Conrad secretly paid two customers a combined $139,000 to settle complaints about his investment recommendations, according to a FINRA disciplinary settlement accepted on October 22, 2026. The former broker never told any of
FINRA suspends broker Gilbert Conrad after $139,000 in secret REIT complaint settlements Read More »
A federal court has placed the investment funds managed by New York adviser SQN Capital Management LLC into receivership. The order resolves a settled SEC action against the firm and its president and chief executive,
SEC settlement puts SQN Capital into receivership as Silkowski pays 200,000 penalty Read More »
The Securities and Exchange Commission has charged Encinitas, California investment adviser Darren J. Caris and his firm, Caris Investment Partners, Inc., with running a cherry-picking scheme. The complaint says winning trades went to his personal
SEC charges Encinitas adviser Darren Caris in client cherry-picking scheme Read More »
The Securities and Exchange Commission has charged Encinitas, California investment adviser Darren J. Caris and his firm, Caris Investment Partners, Inc., with running a cherry-picking scheme. The complaint says winning trades went to his personal
SEC charges Encinitas adviser Darren Caris in client cherry-picking scheme Read More »
The Securities and Exchange Commission has filed a proposed final judgment against Benjamin Conde, closing a seven-year enforcement case over a penny stock manipulation scheme that prosecutors say targeted senior citizens. The judgment would order
SEC judgment ends seven year penny stock case against Benjamin Conde Read More »
The Securities and Exchange Commission filed settled fraud charges on October 19, 2026 against Terrance P. Berland and David Michael Scalzo, former executives of the now defunct Florida photonics company Violet Defense Group, Inc. Regulators
Keith R. Gebert, founder and sole owner of Rightbridge Private Capital LLC, has been barred from the investment industry by the SEC. The order follows findings that he steered roughly 36 advisory clients into a
SEC Bars Adviser Keith Gebert Over $10 Million Rightbridge Fund Collapse Read More »
A federal appeals court has upheld an asset freeze against Reven Holdings and three company principals. The October 14 ruling keeps strict financial limits on a biotechnology firm that regulators say raised at least $44
A federal judge in Miami has closed a five-year-old securities fraud case against Gordon Scott Venters, the chief executive of Fort Lauderdale-based microcap company The Movie Studio, Inc. The final judgment, signed October 15, 2026,
SEC final judgment: Movie Studio CEO Gordon Venters to pay $186,735 in fraud case Read More »
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