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 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 »
In February 2019, McKnights’s Senior Living referenced a freshly published report by the Consumer Financial Protection Bureau (CFPB) revealing that reports of financial fraud targeting the elderly had seen a fourfold increase since 2013 alone,
Elder Financial Fraud Reaches $1.7 BILLION Read More »
This week’s update on GPB Capital reveals that Toni Caiazzo Neff, who previously worked as a compliance officer for a broker-dealer, reportedly faced multiple strategies intended to quiet her following her expression of concerns regarding
GPB Capital Accused of Intimidating Compliance Officer Read More »
The latest quarterly SEC filing from Ladenburg Thalmann reveals that Triad Advisors, a brokerage firm under their umbrella, is facing six customer arbitration complaints with the Financial Industry Regulatory Advisory (FINRA) concerning the sale of
Triad Advisors Investigated Regarding GPB Capital Investor Claims Read More »
In a recent publication, AlphaBetaStock.com disclosed that the UBS Yield Enhancement Strategy, a sophisticated options risk investment approach, surfaced during the market downturn in late 2018. Given the current market fluctuations, we anticipate a comparable
UBS Yield Enhancement Strategy Losses Increases Read More »
Recently, the Financial Industry Regulatory Authority has indefinitely removed Michael Mackey (CRD#: 2279775) from any future participation in the securities industry. This detail can be confirmed by looking at his BrokerCheck record, which was reviewed
FINRA BARS TRANSAMERICA FINANCIAL ADVISORS MICHAEL MACKAY FROM THE SECURITIES INDUSTRY Read More »
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