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.
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.
We have spent our careers watching compliance departments treat anti-money laundering rules as paperwork exercises rather than investor protections. When firms cut corners on supervision, the consequences fall on the people who trusted them with
We spent decades on Wall Street watching brokers exploit the clients they were sworn to protect. Elder financial abuse is not a fringe issue. It is a systemic failure, and regulators have historically moved too
FINRA proposes extended holds to combat elder fraud: what retirees should know Read More »
FINRA sanctioned broker Andrew Stephen Mogol (CRD 3126881) and his firm for willfully violating Regulation Best Interest with complex product recommendations.
FINRA suspended broker Todd Peter Arnoldussen (CRD 1929970) for four months and fined him $10,000 over undisclosed private securities transactions involving customer funds.
FINRA suspends Todd Peter Arnoldussen for undisclosed private securities transactions Read More »
FINRA imposed a $100,000 fine and a one-year suspension on Anthony Cantone effective April 6, 2026, following a National Adjudicatory Council remand decision that became final in February 2026. The sanctions underscore FINRA’s continued focus
FINRA Suspends Anthony Cantone with $100,000 Fine for Regulatory Violations Read More »
The Securities and Exchange Commission charged 21 individuals on May 6, 2026, in what prosecutors describe as a sprawling insider trading network that operated for nearly six years across multiple states. At the center of
SEC Charges 21 Individuals in Insider Trading Scheme Led by M&A Attorney Read More »
We spent years defending brokerage firms on Wall Street. We know every tactic used to separate retirees from their savings. The First Liberty Building & Loan case is another depressing example of what happens when
First Liberty Building & Loan defrauded 300 investors of $140 million Read More »
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.
