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 suspended registered representative William David Miller after he failed to provide information requested under Rule 8210. The administrative action, which took effect in June 2026, bars Miller from associating with any FINRA member […]
William David Miller Suspended by FINRA After Rule 8210 Non-Compliance at Osaic Wealth Read More »
A FINRA arbitration panel has ordered Axos Clearing LLC to pay more than $40.7 million to over 100 investors who suffered losses tied to broker misconduct at Worden Capital Management LLC. The award, reported in
FINRA suspended broker Shuai Wang for three months and fined him $5,000 over an undisclosed referral arrangement that generated $30,000 in fees at Cambridge Investment Research.
FINRA expelled Reid and Rudiger LLC and barred cofounders Clifford Reid and Edward Rudiger Jr. over churning and excessive trading that caused egregious customer harm.
The SEC brought an administrative proceeding against Sanders Family Office LLC on July 2, 2026. The action raises questions for investors who placed assets with the firm.
SEC Orders Sanders Family Office to Cease Operations in July 2026 Administrative Action Read More »
The SEC listed Francisco J. Herrera in an administrative proceeding on July 2, 2026. Investors should understand what administrative proceedings mean for account oversight.
Francisco J. Herrera Named in SEC Administrative Proceeding on July 2 2026 Read More »
Oppenheimer & Co. Inc. has agreed to pay a $1.2 million civil penalty to settle Securities and Exchange Commission charges related to municipal securities violations. The firm consented to a final judgment in the U.S.
Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a $7.5 million civil penalty to settle Securities and Exchange Commission charges. The broker-dealer failed to file numerous Suspicious Activity Reports from April 2020
Merrill Lynch Faces $7.5 Million SEC Penalty for Suspicious Activity Report Failures Read More »
FINRA fined Pictet Overseas and Blue Ocean ATS more than $1.1 million combined for anti-money laundering program failures and supervisory deficiencies.
Pictet Overseas and Blue Ocean ATS Fined $1.1 Million for AML and Supervision Failures Read More »
FINRA expelled Reid & Rudiger LLC and barred principals Clifford Reid and Edward Rudiger for churning customer accounts and violating Regulation Best Interest.
Reid & Rudiger LLC Expelled by FINRA for Churning and Excessive Trading Read More »
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