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.
Brendan Stephen Kammerer, former Ameriprise, Oppenheimer, and Wells Fargo broker, was suspended by FINRA in June 2026 for failing to comply with an arbitration award or settlement.
FINRA fined Pictet Overseas Inc. $610,000 for AML and supervisory failures tied to low-priced securities transactions through an omnibus account.
FINRA suspended Jesse D. Krapf in June 2026 for failing to provide requested information. The broker previously served a five-month suspension for excessive trading.
FINRA Suspends Jesse D. Krapf Over Information Failures at Spartan Capital Securities Read More »
Tom Hulick, a Pasadena-based advisor registered with Strategy Asset Managers, faces an August 2025 investor complaint alleging $500,000 in damages from an unsuitable closed-end fund recommendation.
Tom Hulick (CRD# 1806305) Faces $500,000 Investor Complaint at Strategy Asset Managers Read More »
The SEC charged Jeffrey Cutter and Cutter Financial Group with failing to disclose 5 to 10 percent insurance commissions on products recommended to advisory clients.
FINRA adopted expedited arbitration rules in 2026 that compress timelines for elderly investors alleging broker misconduct.
FINRA Expedited Arbitration Rules Give Elderly Investors Faster Path to Recovery in 2026 Read More »
The SEC charged Krish Kumar in a $7.8 million fraud scheme, alleging he misappropriated nearly $7 million from two funds targeting retail investors.
SEC Charges Krish Kumar in $7.8 Million Fraud Scheme Targeting Retail Investors Read More »
The Supreme Court ruled in Sripetch v. SEC that the SEC does not need to prove investor pecuniary loss to obtain disgorgement, strengthening enforcement tools.
Bruce Cameron Conway consented to a final judgment in a Securities and Exchange Commission enforcement action filed under litigation release LR-26568 on June 16, 2026. The SEC complaint alleged that Conway violated federal securities laws
Bruce Cameron Conway SEC Final Judgment in June 2026 Securities Fraud Case Read More »
The Securities and Exchange Commission charged Sterling Capital, LLC in a June 2026 enforcement action tied to misleading investment practices. The case, filed under SEC litigation release LR-26562 on June 8, 2026, marks another regulatory
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.
