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 SEC has charged South Florida resident Michael D. Williams and his company, CMI Capital, LLC, with running an alleged investment scheme that raised approximately $860,000 from at least 18 investors. Many of those investors
FINRA has expelled New York broker-dealer Reid & Rudiger LLC and permanently barred its cofounders, Clifford Reid and chief executive Edward Rudiger, Jr. The regulator found the firm churned and excessively traded customer accounts for
FINRA Expels Reid & Rudiger and Bars Founders Over $2.7 Million Churning Scheme Read More »
The Securities and Exchange Commission filed insider trading charges against Michael T. Christensen of Boise, Idaho on September 21, 2026. Regulators allege he bought PetIQ stock and options ahead of the August 7, 2024 announcement
SEC Charges Michael Christensen With PetIQ Insider Trading Ahead of Bansk Takeover Read More »
FINRA has censured Anaheim, California-based Centaurus Financial, Inc. and ordered the firm to pay a $475,000 fine plus $634,488.56 in customer restitution over unsuitable variable annuity exchanges sold by one of its representatives. The regulator
Two former Okta sales managers will pay a combined $934,264 to settle Securities and Exchange Commission insider trading charges over put options they bought ahead of a guidance cut that sent the software company’s shares
SEC Settles Okta Insider Trading Case: Neller and Alexander Pay $934,264 Read More »
FINRA has permanently barred Minneapolis financial advisor Dan Schmid (CRD# 6658306) from the securities industry. A Letter of Acceptance, Waiver, and Consent filed in September 2026 details a $24,000 loan from a customer and the
The Securities and Exchange Commission charged Ellen Polcari, a former employee of two venture capital firms under common ownership, with misappropriating approximately $1.28 million from investors in the firms’ private funds. The complaint, filed September
SEC Charges Ellen Polcari in $1.28 Million Venture Capital Fund Misappropriation Read More »
The Securities and Exchange Commission has charged California resident Omar Dario Chavez with running a fraudulent trading scheme that collected more than $940,000 from at least 16 clients. Chavez, also known as Omar Aiden Chavez,
SEC Charges Omar Chavez in $940,000 Trading Scheme Targeting 16 Clients Read More »
The Securities and Exchange Commission has charged Mark D. Hanf, the former chief executive of Novato, California-based Pacific Private Money Group LLC, with orchestrating a Ponzi-like offering fraud that raised more than $80 million from
SEC Charges Mark Hanf in $80 Million Pacific Private Money Ponzi Scheme Read More »
A federal court has ordered Florida man Michael Frederick Staryk to pay more than $6.4 million for an options trading fraud. At least 26 retail clients had sent money believing their funds were trading options
CFTC Wins $6.4 Million Judgment Against Staryk in Options Trading Fraud Read More »
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