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.
SEC bars David P. Ortiz and DaveGlo Investment Group after they sold $18 million in unregistered oil and gas securities to retail investors through radio advertising.
SEC bars David Ortiz and DaveGlo after $18 million in unregistered oil and gas sales Read More »
On May 6, 2026, the Securities and Exchange Commission filed a sweeping complaint against 21 individuals accused of running a sophisticated insider trading ring. The scheme allegedly spanned more than a decade and involved the
SEC charges 21 in decade-long law firm insider trading ring Read More »
SEC enforcement surged in FY2025 with $17.9 billion in relief. But data shows retirees recover only a fraction of their losses. Here’s why.
SEC enforcement hit $17.9 billion in FY2025 but recovery for retirees lags Read More »
SEC secures final judgment against Robert L. Murray Jr. for misappropriating $149,000 from 44 Navy veterans through unregistered fund Deep Dive Strategies, LLC.
FINRA’s 2026 report exposes how variable annuity exchanges strip retirees of living benefits and increase costs. Here’s what to watch for.
How variable annuity exchanges cost retirees millions in hidden fees Read More »
The SEC charged Oklahoma adviser Krish Kumar with fraudulently raising $7.8M through Future Fractal Investments and misappropriating roughly $7M.
SEC charges Krish Kumar with $7.8M fraud through Future Fractal Investments Read More »
A federal jury in Manhattan has convicted former Beneficient founder Brad Heppner on multiple fraud charges tied to a scheme prosecutors say diverted more than $150 million from GWG Holdings before the company’s dramatic collapse
Michael Lickiss, formerly with Arkadios Capital, faces multiple pending customer complaints alleging fictitious notes and promissory note misconduct, including an $11M claim.
Investment advisor Matthew Wilkes (CRD# 5409004) faces two major investor claims totaling $6.8M alleging unsuitable life insurance and premium financing recommendations.
Matthew Wilkes (CRD# 5409004) Faces Multiple Investor Claims Totaling $6.8M Read More »
FINRA fined broker William Charles Burks II $10,000 and suspended him for unsuitable concentrations in non-traded REITs and BDCs. Investors may have recovery options.
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