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 Securities and Exchange Commission has filed a civil enforcement action against Brian Kuzdas and John Rowland, alleging investment fraud related to their securities activities and dealings with investors. The SEC announced the charges on […]
SEC Charges Brian Kuzdas and John Rowland in Investment Fraud Civil Action Read More »
The Securities and Exchange Commission has filed a civil action against RAD Diversified REIT, Inc., Brandon “Dutch” Mendenhall, Amy Vaughn, and The Seminar Solution, LLC, alleging investment fraud related to the REIT’s fundraising practices and
Justin Jennings has settled SEC insider trading charges related to illicit profits exceeding $2.7 million, according to SEC Litigation Release 26570. The case involved trading ahead of a material non-public announcement about a corporate transaction.
Justin Jennings Settles SEC Insider Trading Charges Over $2.7 Million in Illegal Profits Read More »
Craig Allen faces federal charges in a Nebraska casino investment scheme that allegedly defrauded dozens of investors out of more than $16 million in total losses. Prosecutors say Allen marketed fake ownership stakes in casino
Craig Allen Charged in $16 Million Nebraska Casino Investment Fraud Scheme Read More »
John Sterling Myers, the operator of Sterling Capital, faces federal civil charges in connection with an alleged $3.6 million pooled investment fraud. The Securities and Exchange Commission claims Myers misappropriated at least $1.8 million from
Casey Muggleston, a former employee at Constellation Energy, faces civil insider trading charges from the Securities and Exchange Commission. The SEC alleges he traded on nonpublic information about Project Tetris, a confidential corporate initiative, generating
Reid and Rudiger LLC has been expelled from FINRA membership following disciplinary action related to significant supervisory and compliance failures at the broker-dealer firm. The expulsion removes the firm’s ability to conduct securities business under
Reid and Rudiger LLC Expelled by FINRA Over Supervisory Failures Read More »
William David Miller has been suspended by the Financial Industry Regulatory Authority after failing to respond to information requests issued under Rule 8210. The suspension highlights ongoing enforcement against registered representatives who decline to cooperate
William David Miller Suspended by FINRA for Rule 8210 Non-Cooperation at Broker-Dealer Read More »
The Securities and Exchange Commission charged Phoenix American Hospitality, LLC and its president William Lee “Perch” Nelson with defrauding more than 2,000 retail investors in an $86 million hotel fund scheme. The SEC filed a
Jennifer Basey, a former registered representative at Stifel, Nicolaus & Company, Incorporated, was suspended for three months and fined $10,000 by FINRA in June 2026 for secretly paying clients and conducting unauthorized off-channel communications. The
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