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.
A former Alabama investment advisor was sanctioned in federal court following Securities and Exchange Commission findings that client assets were diverted and misused. The case highlights how even established advisory relationships can conceal serious misconduct. […]
Former Alabama advisor sanctioned after $2.6 million in client assets misused Read More »
We spent more than two decades on Wall Street watching financial advisers collect fees that clients never fully understood. The Securities and Exchange Commission’s recent enforcement action against Jeffrey Cutter and Cutter Financial Group, LLC
SEC charges Jeffrey Cutter with hiding commissions on insurance products Read More »
A former broker at Concorde Investment Services is facing serious allegations of fraud and unsuitable investment recommendations. The claims center on Amit Jonathan Urban, who allegedly mismanaged client money while affiliated with the Texas-based brokerage
Amit Urban and Concorde Investment Services face fraud and unsuitability allegations Read More »
FINRA suspended broker Cecil Ernest Nivens for allegedly concealing variable annuity replacements at NYLife Securities, saddling customers with undisclosed surrender charges.
FINRA barred Rasheed Richard Adams for allegedly churning customer accounts at Caldwell International Securities, costing investors principal through excessive and unsuitable trading.
A Florida investor was awarded over $1.2 million in a FINRA arbitration against UBS Financial Services Inc. in May 2026, according to public reports from ThinkAdvisor published on May 11, 2026, and InvestmentNews on May
We have seen this story too many times on Wall Street. A broker builds a practice recommending complex products to retirees, then the account churns out commissions while the account balance declines. Brad Katzer, CRD#
Brad Katzer at Equitable Advisors faces churning allegations over variable annuity sales Read More »
FINRA disciplinary actions target brokers who pushed non-traded REITs onto retirees without disclosure. Learn the red flags.
FINRA cracks down on brokers selling non-traded REITs to retirees Read More »
The SEC fined Archer-Daniels-Midland $40 million for accounting fraud. Conservative investors should know how this affects dividend safety.
SEC hits Archer-Daniels-Midland with $40 million penalty over accounting fraud Read More »
When we worked on Wall Street, churning was the silent killer of brokerage accounts. It does not require a market crash. It does not need a Ponzi scheme. It simply requires a registered representative who
FINRA accuses Spartan Capital of widespread churning that cost retirees millions Read More »
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