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.
Brokerage firms and their registered representatives have a legal obligation to recommend investments that match each client’s financial profile, risk tolerance, and stated objectives. When brokers ignore this duty and push high-risk or illiquid products
Unsuitable Investment Recommendations: How Brokers Put Retirement Accounts at Risk Read More »
Selling away happens when a broker sells investments that are not approved or supervised by the broker-dealer firm that employs them. These off-platform offerings often include private placements, promissory notes, real estate schemes, and unregistered
Selling away happens when a broker sells investments that are not approved or supervised by the broker-dealer firm that employs them. These off-platform offerings often include private placements, promissory notes, real estate schemes, and unregistered
Unauthorized trading occurs when a broker executes buy or sell orders in a client account without prior written or verbal consent. This violation of FINRA Rule 2010 and Regulation Best Interest strips investors of control
Unauthorized trading occurs when a broker executes buy or sell orders in a client account without prior written or verbal consent. This violation of FINRA Rule 2010 and Regulation Best Interest strips investors of control
Non-traded real estate investment trusts promise stable income and portfolio diversification. Many brokers present them as safe alternatives to bonds or dividend stocks. The reality is more complex. Non-traded REITs carry substantial liquidity risks, high
Non-Traded REIT Liquidity Risks: What Brokers Hide From Income Investors Read More »
Broker churning is one of the most damaging forms of securities misconduct targeting retirees and conservative investors. It occurs when a financial advisor places excessive trades in a client account to generate commissions rather than
How Broker Churning Destroys Retirement Portfolios Through Excessive Trading Read More »
The SEC settled fraud charges against investment adviser Adit Ventures on August 10, 2026, alleging the firm misrepresented the value of pre-IPO shares in SpaceX and Klarna that it sold to retail investors. The settlement
The SEC and CFTC filed parallel civil complaints against Goliath Ventures Inc. and its founder Christopher Delgado on August 11, 2026, alleging a $397 million cryptocurrency Ponzi scheme that defrauded retail investors across multiple states.
SEC and CFTC Sue Goliath Ventures Over $397 Million Crypto Ponzi Scheme Read More »
American Realty Capital Properties, a publicly traded nontraded real estate investment trust, collapsed in 2014 after revealing $3 billion in accounting irregularities. Founder Nicholas S. Schorsch and chief accounting officer Brian S. Block later settled
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