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.
SEC secures final judgment against Robert L. Murray Jr. for misappropriating $149,000 from 44 Navy veterans through unregistered fund Deep Dive Strategies, LLC.
FINRA’s 2026 report exposes how variable annuity exchanges strip retirees of living benefits and increase costs. Here’s what to watch for.
How variable annuity exchanges cost retirees millions in hidden fees Read More »
The SEC charged Oklahoma adviser Krish Kumar with fraudulently raising $7.8M through Future Fractal Investments and misappropriating roughly $7M.
SEC charges Krish Kumar with $7.8M fraud through Future Fractal Investments Read More »
A federal jury in Manhattan has convicted former Beneficient founder Brad Heppner on multiple fraud charges tied to a scheme prosecutors say diverted more than $150 million from GWG Holdings before the company’s dramatic collapse
Michael Lickiss, formerly with Arkadios Capital, faces multiple pending customer complaints alleging fictitious notes and promissory note misconduct, including an $11M claim.
Investment advisor Matthew Wilkes (CRD# 5409004) faces two major investor claims totaling $6.8M alleging unsuitable life insurance and premium financing recommendations.
Matthew Wilkes (CRD# 5409004) Faces Multiple Investor Claims Totaling $6.8M Read More »
FINRA fined broker William Charles Burks II $10,000 and suspended him for unsuitable concentrations in non-traded REITs and BDCs. Investors may have recovery options.
We have spent our careers watching compliance departments treat anti-money laundering rules as paperwork exercises rather than investor protections. When firms cut corners on supervision, the consequences fall on the people who trusted them with
We spent decades on Wall Street watching brokers exploit the clients they were sworn to protect. Elder financial abuse is not a fringe issue. It is a systemic failure, and regulators have historically moved too
FINRA proposes extended holds to combat elder fraud: what retirees should know Read More »
FINRA sanctioned broker Andrew Stephen Mogol (CRD 3126881) and his firm for willfully violating Regulation Best Interest with complex product recommendations.
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