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.
A Wells Fargo broker who misappropriated more than $1.7 million from elderly clients has been permanently barred from the securities industry. FINRA issued the bar after investigators found the broker used a web of unauthorized transfers, fabricated …
Wells Fargo Broker Barred for Misappropriating $1.7M From Elderly Clients Read More »
FINRA suspended Gary Goldberg 18 months and ordered $594,590 restitution for unsuitable variable annuity share-class switches that overcharged clients.
Advisor Suspended 18 Months for Overcharging Clients $594K on Variable Annuity Shares Read More »
The SEC has charged an independent broker-dealer for facilitating a $48 million unregistered REIT offering that targeted over 1,200 retirees with misleading distribution reports and inflated yield claims. SEC enforcement action details The Securities and
SEC Charges Broker-Dealer in $48M Unregistered REIT Offering Targeting Retirees Read More »
FINRA barred a broker for churning an elderly client’s variable annuity portfolio, draining years of retirement savings through excessive trading and unjustified fees. Here is how churning exploits vulnerable investors and what recovery options exist.
Broker Barred for Churning Elderly Client’s Variable Annuity Portfolio Read More »
Morgan Stanley will pay $8 million to settle SEC charges that its advisors recommended unsuitable REITs to thousands of investors. Here is what the settlement means for affected clients and how to pursue additional recovery.
SEC Settles With Morgan Stanley Over Unsuitable REIT Recommendations Read More »
NHP priced its IPO at $12/share — 88% below the split-adjusted price original investors paid. Legacy shareholders are locked out until October 2026. Haselkorn & Thibaut, P.A. offers free case evaluations at 1-888-885-7162.
A class action lawsuit filed April 21 alleges Apollo Global Management concealed its Epstein business ties from investors. Stock dropped 16% on the revelations. Lead plaintiff deadline is May 1, 2026.
Millions of investors depend on financial advisors to manage their savings. When that trust is violated, you have specific rights and channels for recourse. Here is how to recognize, document, and file complaints against advisors
Financial Advisor Complaints: How to File and What to Expect (2026) Read More »
FINRA arbitration gives investors a path to recover losses caused by broker misconduct. This guide walks through every step of the process, from filing a claim to receiving an award, so you know exactly what
FINRA Arbitration: How the Process Works for Investors (2026) Read More »
A well-known financial advisor with a two-decade career at major Wall Street firms is under intense regulatory and legal scrutiny after a wave of investor complaints, a record FINRA suspension, and a multi-million-dollar customer settlement.
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