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.
Western Asset Management Pays $100 Million SEC Penalty Over Cherry-Picking Scheme – AlphaBetaStock.com
Western Asset Management Pays $100 Million SEC Penalty Over Cherry-Picking Scheme Read More »
Jacob Lee Harper Suspended 22 Months by FINRA for $50,000 in Improper Customer Loans – AlphaBetaStock.com
Jacob Lee Harper Suspended 22 Months by FINRA for $50,000 in Improper Customer Loans Read More »
The SEC obtained a revised final judgment against Shane Schmidt on July 17, 2026, in Litigation Release LR-26588. Investors may still have recovery options.
SEC Obtains Revised Final Judgment Against Shane Schmidt (LR-26588) Read More »
The SEC charged Zan Shaikh and Bright Vision Distribution LLC in SEC Litigation Release LR-26590 for an alleged retail investment fraud scheme.
The SEC charged Quest Education L.L.C. and several principals with collecting roughly $2.5 million in unregistered broker commissions while soliciting retail customers into private offerings.
The SEC charged David Kushner and La Mancha Funding Corp. with raising $10.49 million through a sports-agent lending scheme that misappropriated at least $2.14 million in undisclosed fees.
The SEC charged American Patriot Brands and affiliated entities in a $30 million cannabis investment fraud scheme, alleging unregistered securities offerings and misrepresentation of material facts.
SEC Charges American Patriot Brands in $30 Million Cannabis Investment Fraud Scheme Read More »
Kim Tran, a former NYLife Securities representative with CRD 5575725, accepted a nine-month FINRA suspension and $5,000 fine after allegedly falsifying life insurance policy loans exceeding $14,000.
Financial Industry Regulatory Authority regulators suspended former broker Jacob Lee Harper for 22 months after finding that he improperly borrowed $50,000 from two customers while registered with a member firm. Harper also faces a deferred
Jacob Lee Harper Suspended 22 Months by FINRA Over $50,000 in Improper Customer Loans Read More »
The Securities and Exchange Commission secured a final judgment on July 10, 2026, against American Patriot Brands and its executives Robert Y. Lee and Brian L. Pallas. The order requires the cannabis company and related
SEC Orders $17.7 Million Disgorgement in American Patriot Brands Fraud Case Read More »
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