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 SEC charged John Sterling Myers and Sterling Capital with running a pooled investment fraud that raised approximately $4 million from 28 investors and left more than $3.6 million unaccounted for.
FINRA sanctioned broker Antonio Molinos for excessive trading that generated $158,500 in commissions while causing $358,979 in customer losses.
Antonio Molinos Faces FINRA Sanctions for Excessive Trading and Reg BI Violations Read More »
FINRA suspended broker William David Miller for failing to provide information during an investigation involving former firms Osaic Wealth and Woodbury Financial.
Investors should pay attention to a historic enforcement action from March 2026 that exposed widespread anti-money laundering failures at a global broker-dealer. The Financial Crimes Enforcement Network imposed an 80 million dollar penalty, the largest
Record Broker-Dealer Penalty Signals Tougher AML Enforcement for Investors Read More »
FINRA has suspended broker Lester Joel Hochler after findings that he failed to reasonably supervise a representative who recommended speculative debt securities to customers. Hochler, who held CRD number 3209012, was suspended from April 6,
Chihyu Jerry Hsu (CRD# 6193150) faces indefinite FINRA suspension after failing to respond to information requests. Former Park Avenue Securities and Morgan Stanley broker.
Clinton Edmund Galloway (CRD# 851674) faces indefinite FINRA suspension after failing to respond to information requests from the regulator.
William Bernard Tunink, a former registered representative who held registrations at LPL Financial LLC and Avantax Investment Services Inc., was suspended by the Financial Industry Regulatory Authority in June 2026. The suspension follows alleged failures
Francisco M. Gomez, a former registered representative who worked at LPL Financial LLC and BBVA Securities Inc., was suspended by the Financial Industry Regulatory Authority in June 2026. The suspension stems from alleged failures to
Nontraded REITs have left thousands of investors with frozen accounts. Recovery options remain available.
Nontraded REIT Recovery: How Investors Can Recover Losses in 2026 Read More »
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