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.
Brenda Smith, an investment advisor, pled guilty previously to securities fraud and was sentenced to 109 months imprisonment for selling …
Brenda Smith Pleads Guilty To Fraud and Sentenced to Over 9 Years Read More »
On February 18, 2022, Girard Sharp filed a class action lawsuit against GWG Holdings, Inc., based on reports that the …
GWG Holdings Lawsuit Filed By Investors To Recover Losses Read More »
If you have a complaint about a financial advisor or broker, you have a number of options. You can contact …
On Wednesday, the Financial Industry Regulatory Authority Inc. fined national Securities Corp $663,000 on Wednesday for misrepresenting investors regarding the …
FINRA Fines National Securities Corp Over 650K Over Pre-IPO Placement Read More »
Nearly two years later, the SEC staffers have been trying to assist financial professionals (including those who are registered as …
SEC Warns Advisors On Account Selection For Clients Read More »
The US Securities and Exchange Commission (SEC) has brought civil charges against James Velissaris (founder and former chief investment officer …
SEC Accuses Infinity Q Founder Accused of $1 Fraud Read More »
A major LPL Financial hybrid RIA firm quietly settled a lawsuit brought by fraud victims alleging that its response to …
In 2021, the Securities and Exchange Commission (SEC) examined 16% of RIAs (registered investment advisors). This translates to every sixth …
A registered representative of Merrill Lynch, Evelyn Batista was suspended by the Financial Industry Regulatory Authority (FINRA) for making “reckless …
A FINRA claim has been filed by an investment fraud law firm on behalf of a resident of Kansas. It …
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