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.
William David Miller has been suspended by the Financial Industry Regulatory Authority after failing to respond to information requests issued under Rule 8210. The suspension highlights ongoing enforcement against registered representatives who decline to cooperate […]
William David Miller Suspended by FINRA for Rule 8210 Non-Cooperation at Broker-Dealer Read More »
The Securities and Exchange Commission charged Phoenix American Hospitality, LLC and its president William Lee “Perch” Nelson with defrauding more than 2,000 retail investors in an $86 million hotel fund scheme. The SEC filed a
Jennifer Basey, a former registered representative at Stifel, Nicolaus & Company, Incorporated, was suspended for three months and fined $10,000 by FINRA in June 2026 for secretly paying clients and conducting unauthorized off-channel communications. The
Chihyu Jerry Hsu, a former registered representative with Park Avenue Securities LLC, Northwestern Mutual Investments, and Morgan Stanley, was suspended by the Financial Industry Regulatory Authority (FINRA) for failing to comply with information requests under
Chihyu Jerry Hsu Suspended by FINRA for Rule 8210 Violation at Park Avenue Securities Read More »
Clinton Edmund Galloway, a former registered representative with Drum Capital Corp, Private Investors Equity Group, and First Street Securities Corp, was suspended by the Financial Industry Regulatory Authority (FINRA) for failing to comply with information
The Securities and Exchange Commission filed proposed final consent judgments on July 8, 2026, against Robert Alan Yedid, Andrew Kaufman, and Mark Jacobs for insider trading that generated more than $500,000 in combined illegal profits.
The Securities and Exchange Commission charged four men on July 17, 2026, with insider trading ahead of Desktop Metal’s acquisition of The ExOne Company. Ali El Siblani, a senior executive at Desktop Metal, allegedly tipped
The Securities and Exchange Commission charged four men on July 17, 2026, with insider trading ahead of Desktop Metal’s acquisition of The ExOne Company. Ali El Siblani, a senior executive at Desktop Metal, allegedly tipped
Registered representative Randy Fox faces an indefinite FINRA suspension for failing to comply with an $82,600 arbitration award, leaving affected customers without recourse.
Randy Fox Barred Indefinitely by FINRA After Failing to Pay $82,600 Arbitration Award Read More »
Former NYLife Securities broker Kim Thien Tran received a nine-month FINRA suspension and a $5,000 fine for falsifying documents and taking $14,790 in unauthorized loans against a customer’s life insurance policy.
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