Law

FINRA has permanently barred broker Keith Craig Baron (CRD #3231494) after finding he promoted a $359,000 oil and gas investment with false guaranteed-return promises while pocketing nearly $285,000 in undisclosed compensation. The April 2026 enforcement […]

FINRA has suspended broker Justin Ray Deiter (CRD #5225102) after finding he engaged in excessive trading and churning in an elderly client’s account, generating heavy commissions while the client suffered significant losses. The disciplinary action,

Vincent J. Camarda, the CEO of Long Island-based A.G. Morgan Financial Advisors LLC, has pleaded guilty to securities fraud and investment adviser fraud charges involving at least $138 million in investor losses. The SEC charged

FINRA fined a national brokerage $3.6M for Reg BI supervision failures on senior accounts, ordering $8.9M in restitution to approximately 2,400 affected investors.

The SEC charged a registered investment adviser with cherry-picking $4.7M in profitable IPO allocations, diverting gains to personal accounts while pushing losses to client portfolios.

I spent nearly two decades on Wall Street defending brokerage firms. Now I represent investors. The case I am reading today makes me furious. A FINRA arbitration panel in Florida last week ordered a Morgan

I spent 18 years defending brokerage firms against investor claims. What I saw still keeps me awake at night. The SEC announced civil fraud charges last week against a Nashville-based investment advisor accused of stealing

We spent years defending brokerage firms against investor claims. We saw the training materials, the sales contests, the pressure to push complex products. Nontraded REITs were always at the top of that list. The firms

Broker churning represents one of the most destructive forms of securities fraud targeting retirees. We have witnessed countless cases where advisors prioritized commissions over client welfare, leaving elderly investors with devastated portfolios while collecting substantial