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 has fined two former Columbia Capital Securities brokers $10,000 each and suspended them for 10 months over undisclosed private securities transactions tied to an offering that raised about $8 million from 18 investors. Josiah
FINRA has fined former UBS broker Mark L. Sullivan $10,000 and suspended him for three months after finding he placed 581 unauthorized trades in two customer accounts without written authorization. Sullivan, who worked in New
FINRA Fines Ex-UBS Broker Mark L. Sullivan $10,000 for 581 Unauthorized Trades Read More »
The Securities and Exchange Commission charged purported investment adviser Ichcoin Tech Corp. on August 27, 2026, for allegedly making false statements in its Form ADV filings with the agency. The complaint, filed in the Northern
SEC Charges Ichcoin Tech Corp. With Falsifying Investment Adviser Filings Read More »
The Securities and Exchange Commission filed settled charges on August 26, 2026, against GenesisAI Corp. and its founder Archil Cheishvili for allegedly raising more than $5.3 million from over 4,000 retail investors through a series
Former Ameriprise Financial and Citigroup broker Sung Moo Cho, also known as Sam Cho, was barred by FINRA in June 2026 after a customer complaint alleged he misappropriated approximately $3.5 million from brokerage accounts. Cho
Sung Moo Cho Barred by FINRA Over $3.5 Million Broker Misappropriation Read More »
The Securities and Exchange Commission charged 38 foreign entities on August 27, 2026 with making material misrepresentations in Form ADV filings to falsely pose as legitimate U.S. investment advisers. The coordinated enforcement action, supported by
SEC Charges 38 Entities With False Investment Adviser Filings to Lure Retail Investors Read More »
Unauthorized trading occurs when a broker buys or sells securities in a client’s account without obtaining prior approval. It is a clear violation of securities law and brokerage industry rules. Retirees and conservative investors are
Unauthorized Trading: When Brokers Make Trades Without Your Consent Read More »
Broker churning is one of the most costly forms of investment fraud facing retirees today. It occurs when a financial advisor executes excessive trades in a client’s account to generate commissions rather than to serve
Broker Churning: How Excessive Trading Drains Retirement Accounts Read More »
Promoters of unregistered oil and gas drilling programs have stolen hundreds of millions from retirees. These schemes promise guaranteed returns from energy projects that never materialize. The SEC has brought dozens of enforcement actions against
Oil and Gas Investment Fraud: How Unregistered Drilling Programs Target Retirees Read More »
Affinity fraud targets investors through trusted community channels. Scammers infiltrate churches, ethnic associations, and professional groups to sell fraudulent investments. The SEC estimates that affinity frauds have cost American investors billions of dollars over the
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