Law

Why elderly investors needed faster arbitration During our decades on Wall Street, we watched elderly clients wait twelve to eighteen months for FINRA arbitration hearings while their retirement accounts continued to bleed. Some passed away […]

What regulators found at Canaccord Genuity When we worked on Wall Street, we learned quickly that surveillance reports are not suggestions. They are the guardrails that keep broker-dealers from running off a cliff with their

The SEC filed a civil enforcement action against Krish Kumar, an Oklahoma investment adviser, alleging he raised approximately $7.8 million from investors and misappropriated nearly $7 million through two private funds.

A federal judge entered a final judgment on May 7, 2026, against Robert Newell, ordering him to pay approximately $1.59 million for his role in a $37 million cannabis-related Ponzi scheme.

During my years working on Wall Street, I watched private placements drain retirement accounts with promises that sounded too good to examine. The Securities and Exchange Commission’s charges against Daryl F. Heller, Paramount Management Group,

A former Alabama investment advisor was sanctioned in federal court following Securities and Exchange Commission findings that client assets were diverted and misused. The case highlights how even established advisory relationships can conceal serious misconduct.

We spent more than two decades on Wall Street watching financial advisers collect fees that clients never fully understood. The Securities and Exchange Commission’s recent enforcement action against Jeffrey Cutter and Cutter Financial Group, LLC

A former broker at Concorde Investment Services is facing serious allegations of fraud and unsuitable investment recommendations. The claims center on Amit Jonathan Urban, who allegedly mismanaged client money while affiliated with the Texas-based brokerage

FINRA suspended broker Cecil Ernest Nivens for allegedly concealing variable annuity replacements at NYLife Securities, saddling customers with undisclosed surrender charges.

FINRA barred Rasheed Richard Adams for allegedly churning customer accounts at Caldwell International Securities, costing investors principal through excessive and unsuitable trading.