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.
Two Dallas-Fort Worth area residents owe a combined $12.1 million after a federal court entered final judgments in a Ponzi scheme that raised $91 million from more than 200 investors. Robert D. Welsh and Caedrynn
Robert Welsh and Caedrynn Conner Owe $12.1 Million in Vanguard JV Ponzi Case Read More »
Darren J. Caris, an investment adviser based in Encinitas, California, faces SEC fraud charges over a cherry-picking scheme that steered winning trades to his personal account while clients absorbed the losing side. The complaint, filed
SEC Charges Encinitas Adviser Darren Caris in Cherry-Picking Scheme Over Client Accounts Read More »
FINRA has barred Robert Wayne Thompson, a Houston broker with more than four decades in the securities industry. He refused to provide information in an investigation into allegations that he misappropriated more than $2.3 million
FINRA has barred former LPL Financial broker Rudy Anguiano after finding he converted $1.73 million from two customers’ accounts and routed the money to a limited liability company he solely owned. The regulator announced the
FINRA Bars LPL Broker Rudy Anguiano Over $1.73 Million in Client Funds Read More »
FINRA has barred William H. Sandeman, a former Wedbush Securities broker based in Seattle, after finding that his recommendations cost 81 retail customers more than $3.5 million. The regulator said Sandeman pushed volatility-linked and non-traditional
FINRA Bars Former Wedbush Broker William Sandeman Over $3.5 Million in Customer Losses Read More »
Former Western Asset Management co-chief investment officer Stephen Kenneth Leech II faces a $3 million penalty and an officer-and-director bar under a consent judgment the SEC moved to enter on October 6, 2026. The filing
Ex-Western Asset co-CIO Ken Leech faces $3 million penalty in cherry-picking case Read More »
The Securities and Exchange Commission filed civil fraud charges on September 30, 2026, against Meyer Global Management LLC and its chief executive, Owen E.H. Meyer. The complaint, filed in federal court in Manhattan, accuses the
SEC charges Meyer Global and CEO Owen Meyer in SpaceX pre-IPO investor fraud Read More »
The Securities and Exchange Commission has charged Georgia resident Lamar D. Fletcher with operating a real estate offering fraud that raised more than $4.25 million from approximately 100 investors nationwide. The SEC alleges that Fletcher
SEC charges Georgia’s Lamar Fletcher with $4.25 million real estate offering fraud Read More »
The Securities and Exchange Commission charged David Reichman, the former Chairman and CEO of Global Tech Industries Group, Inc., on October 2, 2026, with orchestrating a multi-year scheme to defraud the public company’s investors. The
SEC Charges Former Global Tech CEO David Reichman In Share Scheme Read More »
The Securities and Exchange Commission has charged Thomas J. Moore, III of D’Iberville, Mississippi with misappropriating approximately $1.94 million from roughly 20 investors who bought equity in Mississippi Green Oil, LLC, a Prentiss-based medical marijuana
SEC Charges Thomas J. Moore III In $4.94 Million Mississippi Green Oil Fraud Read More »
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