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 SEC alleges Nathan Fuller solicited investments from retail investors while operating as an unregistered broker, then diverted millions to personal expenses.
The SEC fined David Lerner Associates $201,000 for unsuitable mutual fund switches that cost retail customers $230,000 in unnecessary sales charges.
SEC fines David Lerner Associates $201,000 for unsuitable mutual fund switches Read More »
The SEC filed a complaint against Reign Financial International and related parties for allegedly raising funds through unregistered securities offerings.
SEC alleges Reign Financial entities raised millions through unregistered offerings Read More »
Ramil Palafox was sentenced to 20 years for running a $200M PGI Global crypto Ponzi that defrauded 90,000 investors.
Ramil Palafox sentenced to 20 years for $200 million PGI Global crypto Ponzi Read More »
Edwin Brant Frost IV pleaded guilty to federal wire fraud in a $140M First Liberty Ponzi scheme that targeted conservative and elderly investors.
Edwin Brant Frost IV pleads guilty to $140 million First Liberty Ponzi scheme Read More »
Why elderly investors needed faster arbitration During our decades on Wall Street, we watched elderly clients wait twelve to eighteen months for FINRA arbitration hearings while their retirement accounts continued to bleed. Some passed away
FINRA speeds up arbitration for elderly investors who lose money to broker misconduct Read More »
What regulators found at Canaccord Genuity When we worked on Wall Street, we learned quickly that surveillance reports are not suggestions. They are the guardrails that keep broker-dealers from running off a cliff with their
Canaccord Genuity hit with $80M penalty for AML failures and unread surveillance Read More »
The SEC filed a civil enforcement action against Krish Kumar, an Oklahoma investment adviser, alleging he raised approximately $7.8 million from investors and misappropriated nearly $7 million through two private funds.
Krish Kumar accused of misappropriating nearly $7M from Oklahoma investment funds Read More »
A federal judge entered a final judgment on May 7, 2026, against Robert Newell, ordering him to pay approximately $1.59 million for his role in a $37 million cannabis-related Ponzi scheme.
Robert Newell ordered to pay $1.59M in cannabis Ponzi case as SEC eyes Fair Fund Read More »
During my years working on Wall Street, I watched private placements drain retirement accounts with promises that sounded too good to examine. The Securities and Exchange Commission’s charges against Daryl F. Heller, Paramount Management Group,
SEC alleges Daryl Heller ran $400 million Ponzi scheme targeting 2,700 investors Read More »
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