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.
Chihyu Jerry Hsu, a former registered representative with Park Avenue Securities LLC, Northwestern Mutual Investments, and Morgan Stanley, was suspended by the Financial Industry Regulatory Authority (FINRA) for failing to comply with information requests under […]
Chihyu Jerry Hsu Suspended by FINRA for Rule 8210 Violation at Park Avenue Securities Read More »
Clinton Edmund Galloway, a former registered representative with Drum Capital Corp, Private Investors Equity Group, and First Street Securities Corp, was suspended by the Financial Industry Regulatory Authority (FINRA) for failing to comply with information
The Securities and Exchange Commission filed proposed final consent judgments on July 8, 2026, against Robert Alan Yedid, Andrew Kaufman, and Mark Jacobs for insider trading that generated more than $500,000 in combined illegal profits.
The Securities and Exchange Commission charged four men on July 17, 2026, with insider trading ahead of Desktop Metal’s acquisition of The ExOne Company. Ali El Siblani, a senior executive at Desktop Metal, allegedly tipped
The Securities and Exchange Commission charged four men on July 17, 2026, with insider trading ahead of Desktop Metal’s acquisition of The ExOne Company. Ali El Siblani, a senior executive at Desktop Metal, allegedly tipped
Registered representative Randy Fox faces an indefinite FINRA suspension for failing to comply with an $82,600 arbitration award, leaving affected customers without recourse.
Randy Fox Barred Indefinitely by FINRA After Failing to Pay $82,600 Arbitration Award Read More »
Former NYLife Securities broker Kim Thien Tran received a nine-month FINRA suspension and a $5,000 fine for falsifying documents and taking $14,790 in unauthorized loans against a customer’s life insurance policy.
Western Asset Management Pays $100 Million SEC Penalty Over Cherry-Picking Scheme – AlphaBetaStock.com
Western Asset Management Pays $100 Million SEC Penalty Over Cherry-Picking Scheme Read More »
Jacob Lee Harper Suspended 22 Months by FINRA for $50,000 in Improper Customer Loans – AlphaBetaStock.com
Jacob Lee Harper Suspended 22 Months by FINRA for $50,000 in Improper Customer Loans Read More »
The SEC obtained a revised final judgment against Shane Schmidt on July 17, 2026, in Litigation Release LR-26588. Investors may still have recovery options.
SEC Obtains Revised Final Judgment Against Shane Schmidt (LR-26588) Read More »
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.
