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 sanctioned broker Andrew Stephen Mogol (CRD 3126881) and his firm for willfully violating Regulation Best Interest with complex product recommendations.
FINRA suspended broker Todd Peter Arnoldussen (CRD 1929970) for four months and fined him $10,000 over undisclosed private securities transactions involving customer funds.
FINRA suspends Todd Peter Arnoldussen for undisclosed private securities transactions Read More »
FINRA imposed a $100,000 fine and a one-year suspension on Anthony Cantone effective April 6, 2026, following a National Adjudicatory Council remand decision that became final in February 2026. The sanctions underscore FINRA’s continued focus
FINRA Suspends Anthony Cantone with $100,000 Fine for Regulatory Violations Read More »
The Securities and Exchange Commission charged 21 individuals on May 6, 2026, in what prosecutors describe as a sprawling insider trading network that operated for nearly six years across multiple states. At the center of
SEC Charges 21 Individuals in Insider Trading Scheme Led by M&A Attorney Read More »
We spent years defending brokerage firms on Wall Street. We know every tactic used to separate retirees from their savings. The First Liberty Building & Loan case is another depressing example of what happens when
First Liberty Building & Loan defrauded 300 investors of $140 million Read More »
We have spent decades on Wall Street. We have watched firms rise and fall. We have seen boiler rooms, Ponzi schemes, and affinity frauds strip honest retirees of their life savings. The Paramount Management Group
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,
FINRA Suspends Justin Ray Deiter for Churning Elderly Client Account at CRD 5225102 Read More »
FINRA suspended broker Robert Settimio Cupello (CRD# 1036533) after finding he recommended unsuitable variable annuity exchanges to six senior customers between July 2021 and December 2022. Cupello, registered with Supreme Alliance LLC in Charlotte, North
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
Get free professional market insights and stock/ETF reports that contain actionable opportunities written by a former financial advisor and Capitalist who has been investing in the markets for 20+ years.
Get Free Stock Picks, Macro Market Events & Options Strategies.
