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 Mordechai Ferder, founder and former chief executive of Lugano Diamonds & Jewelry, on August 31, 2026 with running a diamond investment fraud. The scheme pushed more than $1 billion
The Securities and Exchange Commission charged Texas attorney David T. Gilchrist and Burleson podcast host Christopher Aaron Novinger on August 31, 2026 over four fraudulent securities offerings. The complaint, filed in federal court in Dallas,
The Securities and Exchange Commission filed settled charges on September 8, 2026 against Tustin, California resident Francisco Javier Sarabia. Regulators accuse the president and co-founder of Bonanza Global LLC of raising more than $5 million
The Securities and Exchange Commission has charged three Toms River, New Jersey residents with running a $47 million affinity fraud that drew money from more than 87 investors, most of them members of Orthodox Jewish
SEC Charges Leor Moshe, Jacob Goldman and Isaac Odes in $47 Million Affinity Fraud Read More »
The Securities and Exchange Commission has charged Long Island financier Andrew Spaventa and three companies he controlled with running a boiler room that raised more than $74 million from over 800 retail investors through hidden
SEC Charges Andrew Spaventa in $74 Million Pre-IPO Boiler Room Targeting 800 Investors Read More »
The Securities and Exchange Commission has charged two former Wall Street investment bankers with insider trading ahead of an $8.1 billion utility acquisition. The complaint alleges that Jason Satsky, a former co-head of Bank of
SEC Charges Ex-BofA Banker Jason Satsky in $18.5 Million Insider Trading Case Read More »
The Securities and Exchange Commission has charged three former executives of Tricolor Holdings with civil fraud in connection with the subprime auto lender’s $1.9 billion collapse. The complaint, filed on August 18, 2026 in the
SEC Charges Ex-Tricolor Executives Daniel Chu and Jerome Kollar in $1.9 Billion Fraud Read More »
FINRA has fined Burlingame, California broker Clayton K. Shum $10,000 and suspended him for four months over a variable annuity recommendation that put a senior customer’s interests second. The regulator also found that Shum arranged
FINRA has suspended Gary Talbot, a New York broker registered with Spartan Capital Securities, for four months over a series of excessive trades in a retiree’s account. The regulator found that 20 recommended transactions generated
FINRA has fined two former Columbia Capital Securities brokers $10,000 each and suspended them for 10 months over undisclosed private securities transactions tied to an offering that raised about $8 million from 18 investors. Josiah
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