Law

The SEC fined David Lerner Associates $201,000 for unsuitable mutual fund switches that cost retail customers $230,000 in unnecessary sales charges.

Ramil Palafox was sentenced to 20 years for running a $200M PGI Global crypto Ponzi that defrauded 90,000 investors.

Edwin Brant Frost IV pleaded guilty to federal wire fraud in a $140M First Liberty Ponzi scheme that targeted conservative and elderly investors.

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.