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 charged Ellen Polcari, a former employee of two venture capital firms under common ownership, with misappropriating approximately $1.28 million from investors in the firms’ private funds. The complaint, filed September
SEC Charges Ellen Polcari in $1.28 Million Venture Capital Fund Misappropriation Read More »
The Securities and Exchange Commission has charged California resident Omar Dario Chavez with running a fraudulent trading scheme that collected more than $940,000 from at least 16 clients. Chavez, also known as Omar Aiden Chavez,
SEC Charges Omar Chavez in $940,000 Trading Scheme Targeting 16 Clients Read More »
The Securities and Exchange Commission has charged Mark D. Hanf, the former chief executive of Novato, California-based Pacific Private Money Group LLC, with orchestrating a Ponzi-like offering fraud that raised more than $80 million from
SEC Charges Mark Hanf in $80 Million Pacific Private Money Ponzi Scheme Read More »
A federal court has ordered Florida man Michael Frederick Staryk to pay more than $6.4 million for an options trading fraud. At least 26 retail clients had sent money believing their funds were trading options
CFTC Wins $6.4 Million Judgment Against Staryk in Options Trading Fraud Read More »
The Securities and Exchange Commission has charged Chattanooga accountants Paul Thomas Croft and Jonathan David Frost with running a $64 million offering fraud. The complaint alleges investor money was steered into their own accounting firm,
SEC Charges Croft and Frost in $64 Million Ponzi-Style Offering Fraud Read More »
The Securities and Exchange Commission has charged New York investment adviser Adit Ventures Management LLC, its chief executive Eric Munson, and three affiliated general partners with defrauding investors across more than 60 private funds. The
SEC Charges Adit Ventures and CEO Eric Munson in Pre-IPO Fund Fraud Case Read More »
The Securities and Exchange Commission has settled an insider trading case against Jon P. Kipp, a Kirkland, Washington resident who sold his entire Funko stake after receiving a confidential warning from the company’s then-chief executive.
SEC Settles Insider Trading Case Against Jon Kipp Over $483,746 Funko Stock Sale Read More »
The Securities and Exchange Commission has charged Adam B. Rundle, a former Maryland resident, with raising approximately $1.5 million by stealing the identity of a licensed securities professional and selling a fraudulent investment in a
SEC Charges Adam B. Rundle in $1.5 Million Robinvest Fraud Over Stolen Identity Read More »
The Securities and Exchange Commission has charged Ernest Ossei Boateng and two New Jersey companies he controls with operating an alleged $16 million Ponzi scheme that drew money from more than 200 investors, including retirees,
SEC Charges Ernest Ossei Boateng in $16 Million Ponzi Scheme Targeting 200 Investors Read More »
FINRA censured WestPark Capital, Inc. and fined the Los Angeles broker-dealer $175,000 in June 2026 after finding the firm willfully failed to supervise recommendations of speculative corporate bonds to ten retail customers, four of them
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