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 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
FINRA has fined former UBS broker Mark L. Sullivan $10,000 and suspended him for three months after finding he placed 581 unauthorized trades in two customer accounts without written authorization. Sullivan, who worked in New
FINRA Fines Ex-UBS Broker Mark L. Sullivan $10,000 for 581 Unauthorized Trades Read More »
The Securities and Exchange Commission charged purported investment adviser Ichcoin Tech Corp. on August 27, 2026, for allegedly making false statements in its Form ADV filings with the agency. The complaint, filed in the Northern
SEC Charges Ichcoin Tech Corp. With Falsifying Investment Adviser Filings Read More »
The Securities and Exchange Commission filed settled charges on August 26, 2026, against GenesisAI Corp. and its founder Archil Cheishvili for allegedly raising more than $5.3 million from over 4,000 retail investors through a series
Former Ameriprise Financial and Citigroup broker Sung Moo Cho, also known as Sam Cho, was barred by FINRA in June 2026 after a customer complaint alleged he misappropriated approximately $3.5 million from brokerage accounts. Cho
Sung Moo Cho Barred by FINRA Over $3.5 Million Broker Misappropriation Read More »
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