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The Securities and Exchange Commission rescinded its long-standing no-deny policy on settled enforcement actions on May 18, 2026. For decades, settling defendants were barred from publicly denying the allegations against them. The reversal allows firms […]
SEC rescinds no-deny policy on settled enforcement actions Read More »
FINRA fined J.P. Morgan Securities $3.2 million for supervisory failures that allowed brokers to suppress margin call notices and misuse customer funds between 2016 and 2020.
We have reviewed hundreds of variable annuity complaints over the years, and the pattern is unmistakable. Brokers push high-fee products into retirement accounts where they serve no legitimate purpose, locking seniors into long surrender periods
SEC tightens scrutiny on variable annuity suitability violations in 2026 Read More »
Financial Industry Regulatory Authority enforcement actions are surging over record-keeping violations, especially broker use of personal messaging apps for business communications.
FINRA suspensions for off-channel messaging hit record levels in 2026 enforcement wave Read More »
The Supreme Court has handed the Securities and Exchange Commission a major enforcement tool by ruling that disgorgement does not always require proof of direct harm to specific investors.
We have spent decades watching Wall Street from the inside, and churning remains one of the most destructive practices a broker can inflict on a retiree. Churning — excessive trading to generate commissions — strips
Broker churning drains retirement savings as commissions erode nest eggs Read More »
The SEC unsealed charges against Daryl F. Heller, Paramount Management Group, and Prestige Investment Group alleging a Ponzi scheme affecting roughly 2,700 investors.
SEC Alleges $400M Ponzi Scheme by Daryl Heller and Paramount Management Group Read More »
FinCEN, SEC, and FINRA imposed an $80 million penalty on Canaccord Genuity for anti-money laundering failures that left penny stock manipulation unchecked for years.
Canaccord Genuity Hit With $80M AML Penalty for Unread Surveillance Reports Read More »
The SEC has opened an administrative proceeding against Western Asset Management Company LLC, raising questions about conflicts of interest and fiduciary obligations to mutual fund investors.
FINRA imposed $1.16 million in combined fines against Pictet Overseas Inc. and Blue Ocean ATS for anti-money laundering failures tied to low-priced securities trading.
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