Law

Margin accounts allow investors to borrow against their existing holdings to purchase additional securities. When used responsibly, margin can amplify returns. When brokers abuse margin authority or recommend excessive borrowing to unsuitable clients, the results […]

Brokerage firms and their registered representatives have a legal obligation to recommend investments that match each client’s financial profile, risk tolerance, and stated objectives. When brokers ignore this duty and push high-risk or illiquid products

Selling away happens when a broker sells investments that are not approved or supervised by the broker-dealer firm that employs them. These off-platform offerings often include private placements, promissory notes, real estate schemes, and unregistered

Selling away happens when a broker sells investments that are not approved or supervised by the broker-dealer firm that employs them. These off-platform offerings often include private placements, promissory notes, real estate schemes, and unregistered

Unauthorized trading occurs when a broker executes buy or sell orders in a client account without prior written or verbal consent. This violation of FINRA Rule 2010 and Regulation Best Interest strips investors of control

Unauthorized trading occurs when a broker executes buy or sell orders in a client account without prior written or verbal consent. This violation of FINRA Rule 2010 and Regulation Best Interest strips investors of control

Non-traded real estate investment trusts promise stable income and portfolio diversification. Many brokers present them as safe alternatives to bonds or dividend stocks. The reality is more complex. Non-traded REITs carry substantial liquidity risks, high

Broker churning is one of the most damaging forms of securities misconduct targeting retirees and conservative investors. It occurs when a financial advisor places excessive trades in a client account to generate commissions rather than

The SEC settled fraud charges against investment adviser Adit Ventures on August 10, 2026, alleging the firm misrepresented the value of pre-IPO shares in SpaceX and Klarna that it sold to retail investors. The settlement

The SEC and CFTC filed parallel civil complaints against Goliath Ventures Inc. and its founder Christopher Delgado on August 11, 2026, alleging a $397 million cryptocurrency Ponzi scheme that defrauded retail investors across multiple states.