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.
FINRA expelled Reid & Rudiger LLC and barred co-founders Edward Rudiger Jr. and Clifford Reid after a market-timing strategy cost customers about $2.7 million.
FINRA Expels Reid & Rudiger and Bars Co-Founders Over $2.7 Million Churning Losses Read More »
FINRA fines Stash Capital LLC $450,000 for systemic AML and identity theft prevention program failures affecting over 9 million customer accounts.
Stash Capital Fined $450,000 by FINRA for AML and Identity Theft Program Failures Read More »
FINRA suspends Cambridge Investment Research broker Shuai Wang for 3 months and fines him $5,000 over a concealed outside business activity that generated $30,000 in undisclosed fees from clients.
A federal judge ordered broker-dealer Clarice Saw to pay more than $2 million to the Securities and Exchange Commission after she allegedly defrauded an elderly customer of approximately $2.4 million. Judge Paul G. Gardephe granted
Broker Clarice Saw Ordered to Pay $2 Million in SEC Elderly Client Fraud Case Read More »
Variable annuity abuse remains one of the most costly forms of broker misconduct facing retirees, with regulators now targeting unsuitable sales and abusive 1035 exchanges.
Variable annuity abuse costs retirees billions as regulators tighten oversight Read More »
FINRA permanently barred Andrew Joseph Egber, a former financial advisor at Wells Fargo Clearing Services, after Maryland authorities secured a guilty plea in a scheme that drained $545,831 from elderly investors. The 61-year-old broker instructed
FINRA Bars Former Wells Fargo Broker Andrew Egber After $545K Elderly Investor Fraud Read More »
Former Stifel Nicolaus broker Chuck A. Roberts has been barred by FINRA following allegations of structured product misconduct that exposed retail clients to losses they did not understand.
Former Stifel broker Chuck Roberts barred by FINRA over structured product misconduct Read More »
We have prosecuted cases against some of the largest broker-dealers on Wall Street. None of them carried the scale or the audacity of what regulators just uncovered at Canaccord Genuity. In March 2026, three regulators
Canaccord Genuity hit with record $120M penalty for decade-long AML failures Read More »
We have spent decades on Wall Street watching regulators promise to protect retail investors. FINRA’s latest decision tests that promise in ways we cannot ignore. FINRA announced in March 2026 that it would distribute a
The SEC alleges Edwin Brant Frost IV and First Liberty Building & Loan LLC operated a Ponzi scheme that defrauded approximately 300 investors of more than $140 million.
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