:
Updated:
JP Morgan Settles Broker Fraud Claim for $14M
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Updated:
Shepherd Smith Edwards and Kantas Wins $550K for Texas Widow Against UBS
:
Updated:
Investor Files GPB Private Placement Claim Against Kalos Capital
:
Updated:
Investor’s GPB Private Placement Claim Against Arkadios Capital Gets FINRA Hearing
:
Updated:
Ex-Cetera Broker from Texas is Accused of Defrauding Investors
:
Updated:
American Realty Capital Properties to Pay Investors $1B
:
Updated:
Ex-Morgan Stanley Broker Pleads Guilty to Investment Adviser Fraud
:
Updated:
Cetera Advisors Accused of Defrauding Investors of $10M
:
Updated:
Cambridge Capital Accused of Defrauding Retired NFL Athletes
:
Updated:
Philadelphia-Based Investment Adviser Accused of $105M Investor Fraud
:
Updated:
UBS Ordered to Pay $9.3M for Puerto Rico Bond Fraud
:
Updated:
Financial Sherpa Accused of Cherry Picking
:
Updated:
UBS Yes Strategy Investors File Fraud Claims
:
Updated:
Sagepoint Financial and Royal Alliance Sold GPB Private Placements to Investors
:
Updated:
Ex-Merrill Lynch Investment Adviser Accused of Stealing $1.7M
:
Updated:
Former Broker Pleads Guilty in Castleberry Financial Fraud
:
Updated:
Alleged Unauthorized Trades by IFS Securities Trader Causes $10M in Losses
:
Updated:
Investors of GPB Capital Holdings Funds File Class Action Securities Fraud Lawsuit
:
Updated:
Commonwealth Accused of Not Disclosing Revenue Deal to Clients
:
Updated:
Texas Fines Investment Advisor for Failure to Supervise, UXVY ETF Losses
:
Updated:
Two Former Brokers Sentenced in Multimillion-Dollar Ponzi Frauds
:
Updated:
Ex-Wells Fargo Broker and Advisor Are Accused of Misconduct
:
Updated:
Mispriced Funds and Elder Investor Fraud Lead to SEC Cases
:
Updated:
Centaurus Structured Investment Loss Lawyers
:
Updated:
Texas Investor Says Kalos Capital Advisor Inappropriately Recommended GPB Private Placements
:
Updated:
SSEK Investigates Darren Oglesby and Money Concepts Capital
:
Updated:
GPB Capital Sued by Another Business Partner Alleging Financial Misconduct
:
Updated:
56 Brokerage Firms to Pay $89M to Retirement and Charitable Accounts
:
Updated:
Fidelity’s National Financial Services Orders GPB Private Placements Removed
:
Updated:
Nomura Settles Two MBS Fraud Cases for $25M
:
Updated:
GPB Capital Funds Continue To Plunge In Value
:
Updated:
AR Capital, Nick Schorsch, and Brian Block Settle REIT Fraud Case for $60M
:
Updated:
Aequitas Ponzi Fraud Case Results in $234.6M Settlement
:
Updated:
CYES Strategy Investments Prove Too Risky for Investors
:
Updated:
Kristofor R. Behn, Fieldstone Financial Management Face Fraud Charges
:
Updated:
Summit to Pay Over $880K for Excessive Trading, Inadequate Supervision
:
Updated:
Former LPL Broker and Ex-Convict Accused in $3.3M Investor Fraud
:
Updated:
Legend Securities to Pay Almost $967K to Investor
:
Updated:
Former NY Trader Accused of $19.3M Ponzi Fraud
:
Updated:
Purshe Kaplan to Pay $9.5M to Native American Tribe
:
Updated:
Massachusetts Fines LPL Financial $1.1M
:
Updated:
Brokerage Firms Made over $165 Million for Selling GPB Capital Private Placements
:
Updated:
Investors Awarded $3M In Claim Against Spire Securities
:
Updated:
Healthcare Investment Scam Targeted Dozens of Investors
:
Updated:
REIT Investors Suffer Major Losses
:
Updated:
Ex-Cetera Financial Group Adviser Named in 27 Customer Disputes
:
Updated:
Ex-Cetera, UBS, and Spencer Edwards Brokers Barred
:
Updated:
Recent SEC Cases Involves Market Rigging
:
Updated:
Ex-Windsor Street Capital Broker is Barred
:
Updated:
Leon Vaccarelli Convicted on 21 Counts Involving Investor Fraud
:
Updated:
Wells Fargo Sued for More than $1B in RMBS Fraud Case
:
Updated:
Another Ex-LPL Broker Barred Following Misrepresentation Allegations
:
Updated:
Recent Ponzi Fraud Allegedly Targeted College Grads
:
Updated:
FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations
:
Updated:
Stephen Brandon Anderson Accused of Multiple SEC Findings
:
Updated:
Ex-Morgan Stanley Broker Suspended Over Alleged Churning
:
Updated:
FINRA Bars Additional Bad Brokers from Big Firms
:
Updated:
Former Och-Ziff Capital Executive Admits To Lying
:
Updated:
Investors Defrauded in Alleged $1.4M Prime Bank Fraud
:
Updated:
SEC Announces $4.5M Whistleblower Award
:
Updated:
Newbridge Securities Corporation in Financial Trouble
:
Updated:
SSEK Investigates Harvest Volatility Management Strategies
:
Updated:
Former LPL Financial Broker is Barred from the Securities Industry
:
Updated:
Morgan Stanley Ordered to Pay $519K to Retired Couple
:
Updated:
Broker Allegedly Illegally Sold Over $23M in Woodbridge Securities
:
Updated:
Ex-America Northcoast Securities Broker Barred For Unsuitable ETF Trades
:
Updated:
Former Janney Montgomery Scott Broker Faces Charges
:
Updated:
Stanford Ponzi Fraud Victims Awarded $1.4M
:
Updated:
Fund Manager LJM Partners Sues Over Volatility Losses
:
Updated:
Ex-Business Partner Accuses GPB Capital Holdings of Ponzi Scheme
:
Updated:
AXA Financial Ordered to Pay $3.2M to Farming Family
:
Updated:
Morgan Stanley to Pay Almost $455K For Alleged Retirement Fund Mismanagement
:
Updated:
Morgan Stanley To Pay $150M Over Mortgage-Backed Securities
:
Updated:
Claim Filed Against Arkadios Over GPB Capital Private Placements
:
Updated:
Buckman, Buckman & Reid To Pay Customers $205K
:
Updated:
Puerto Rico Retiree Plan Accuses UBS and Others of Bond Price Rigging
:
Updated:
Recent Fraud Cases Targeted Hedge Funds, Senior Investors, and Israeli-Americans
:
Updated:
Hundreds of Retail Investors Harmed in Two Separate Fraud Cases
:
Updated:
Ex-Aegis Capital Broker is Barred Over Churning Allegations
:
Updated:
LPL Financial To Pay $450K Fine to Texas Investors
:
Updated:
SEC Charges Abraaj Investment Management With Defrauding Investors
:
Updated:
Investment Adviser is Accused of Defrauding More than $570K
:
Updated:
Former Woodbridge CEO Now Faces Criminal Charges
:
Updated:
“Pastors” Accused of $25M Ponzi Scam
:
Updated:
Direct Lending Investments Face SEC $11M Fraud Charges
:
Updated:
Investor Fraud Crimes: Ex-Hedge Fund Manager and Investment Advisor Sentenced
:
Updated:
Texas Man Pleads Guilty In $360M Ponzi Scam
:
Updated:
Latest SEC Whistleblower Award is $50 Million | Securities Fraud Attorney
:
Updated:
Sweetwater Investments Plead Guilty To $3M Investor Fraud
:
Updated:
Unregistered Investment Adviser Accused in $29M Ponzi Scam
:
Updated:
Investor Alert! Beware of Losses from the UBS Yield Enhancement Strategy
:
Updated:
Ex-UBS Puerto Rico Broker is Sentenced to Prison
:
Updated:
Massachusetts Accuses Oakdale Wealth Management Advisors of “Gambling” Clients’ Funds
:
Updated:
Family Files $18M Investor Fraud Lawsuit Against Securities America Alleging Broker Fraud
:
Updated:
The FBI and NY Regulators Raid GPB Capital Holdings’ Trash Hauling Company
:
Updated:
NorthStar Healthcare REIT Investors Suffer Losses as Income Distributions Are Suspended
:
Updated:
Talimco LLC Allegedly Defrauded CDO Client To Benefit Another Client
:
Updated:
79 Investment Advisers To Give Over $125M Back to Mutual Fund Investors
:
Updated:
Radio Host Accused in $19.6M Texas Scam That Targeted Elderly Investors
:
Updated:
Wedbush Securities To Pay $250K Over Inadequate Supervision of Ex-Broker Accused of Fraud
:
Updated:
Former Alexander Capital Broker Accused of Churning Must Pay Over $302K
:
Updated:
SEC Bars Former Wells Fargo Broker Over Alleged $1.3M Senior Investor Fraud
:
Updated:
BB&T Securities To Give Back Over $5M To Retail Investors
:
Updated:
Securities-Backed Lines of Credit Are Not For Every Investor
:
Updated:
Broker-Dealers Who Sold GPB Investments
:
Updated:
FBI Is Investigating GPB Capital Holdings
:
Updated:
Hedge Funds That Own Puerto Rico General Obligation Bonds Continue to Fight for Repayment
:
Updated:
Criminal Securities Fraud Cases Including Startup Company Charged in $48M Fraud
:
Updated:
Investors Claims Against Santander for Puerto Rico Bond Fraud Losses are Increasing
:
Updated:
Castleberry Financial Services is Accused of $3.6M Investor Fraud
:
Updated:
Big Banks Are Accused of Rigging Freddie Mac and Fannie Mae Bonds
:
Updated:
Investor Fraud Claims Include Kiddar Capital and Stanford Ponzi Scam
:
Updated:
Former Commonwealth Financial Network Broker Is Accused of Stealing $100K From Retiree
:
Updated:
Philadelphia Sues Citigroup, Goldman Sachs, Bank of America and Other Big Banks, Alleges Municipal Bond Rigging
:
Updated:
United Planners Fined $100K By Massachusetts for Inadequate Supervision of a Broker
:
Updated:
Financial Firms: UBS Settles with Virginia’s Regulator over Broker’s Unsuitable Recommendations, FINRA Fines Texas Broker-Dealer $225K for Mutual Fund Sales Violations, and an Ex-Client Seeks $500K from Carson Wealth while Alleging Excessive Fees
:
Updated:
U.S. First Circuit Court of Appeals Invalidates PROMESA Board
:
Updated:
Recover Losses From Investing With Former Ameritas Investment Corp. Broker Kristian Gaudet
:
Updated:
Investor Fraud: Former MML Investors Broker Who Sold $3.5M of Woodbridge Notes is Barred, Ex-Merrill Lynch Rep Gets 40-Month Prison Term for Defrauding Clients, and Barred UBS Broker is Sentenced in $3.7M Fraud
:
Updated:
$18 Billion COFINA Deal to Restructure Puerto Rico Debt Gets Federal Court Approval
:
Updated:
Commodity Futures Trading Commission Orders Couple Who Pleaded Guilty in $11M Futures Trading Scam to Pay Restitution
:
Updated:
Statim Holdings Is Accused of Defrauding Private Fund Arjun and Its Investors
:
Updated:
Finra Bars Fired Merrill Lynch Broker Accused of Falsifying Class B Mutual Fund Share Sales Orders
:
Updated:
Investment Fraud: Capital Securities Must Pay Retired Teachers $3.8M and Investors Ask Court for Nearly $2.7M Judgment over High Risk Investment Losses
:
Updated:
U.S. First Court of Appeals Reverses Lower Court and Rules that Puerto Rico Bondholders Have a Valid Claim on Pension Fund Assets
:
Updated:
Retirement Losses: First Allied Securities and Financial Adviser to Pay Retirees Over $1.6M for Investment Advice, MetLife to Pay Another $189M to Individuals Owed Pensions, and Duke University Will Pay Over $10M to Settles Lawsuits Alleging ERISA Violations
:
Updated:
Investor Fraud: Quest Capital Strategies Must Pay Investor $276K in Woodbridge Ponzi Fraud, FINRA Warns Firms About Recommending Unsuitable 529 Plan Share Classes, and Ex-Ameritas Broker is Barred from the Securities Industry
:
Updated:
Woodbridge and Its Ex-Owner Must Pay $1B Over Alleged Ponzi Scam
:
Updated:
Criminal Securities Fraud: Another Ex-Wilmington Trust Executive Gets His Prison Term, Former Rock Capital Trader in $13.7M Fake Profits Scam to Serve 5-Year Sentence, and Ex-NJ Financial Adviser Who Defrauded Customers Waits for Jury Verdict
:
Updated:
Texas Real Estate Developer Faces SEC Charges Over Alleged Multimillion-Dollar Ponzi Scam
:
Updated:
Ex- Financial Adviser Peggy Fulford is Sentenced to 10 Years in Prison for Defrauding Professional Athletes
:
Updated:
Securities Cases: Massachusetts Charges Royal Alliance Over Unsuitable Investment Advice, Ex-Schwab Rep. is Fined For Alleged False Statements, and Texas Broker Accused of Bank Fraud Gets His CFP Designation Suspended
:
Updated:
CFD Investments Ordered to Pay $125K Fine Over the Inadequate Supervision of Variable Annuity Sales
:
Updated:
Royal Alliance and Former Broker Are Ordered to Pay $4.2M To Widow Who Was Victim of Investor Fraud
:
Updated:
Puerto Rico Oversight Board Seeks to Invalidate Over $6 Billion of General Obligation Bonds
:
Updated:
Enbridge Acquires The Rest of Its Houston-Based Mastered Limited Partnership Operations
:
Updated:
Finra Bars Another Ex-Morgan Stanley Representative, Fines Firm $10M for AML Detection Deficiencies, and Orders It To Pay Two Investors $4.2M For Broker Fraud
:
Updated:
Houston, TX-Based Brokerage Firm Next Financial is Acquired by Atria
:
Updated:
Puerto Rico’s Fiscal Oversight Board Reportedly Will Pay Advisor Brown Rudnick $790/Hour
:
Updated:
Ex- Wells Fargo Broker Faces 128 Felony Counts in Alleged $1M Ponzi Scam
:
Updated:
Big Banks End 2018 Holding At Least $1.6B of Unsold Loans Involving Leveraged Buyout Debt
:
Updated:
FINRA Sues Ex-Morgan Stanley Broker Ami Forte for Elder Financial Fraud
:
Updated:
SEC Files Charges Against 10 Companies and 13 Unregistered Brokers That Sold Woodbridge Securities in $1.2B Ponzi Scam
:
Updated:
FINRA and SEC Reportedly Probe GPB Capital Holdings and The Brokerage Firms That Sold Its Private Placements
:
Updated:
When Margin Calls Lead to Investor Fraud Losses
:
Updated:
Puerto Rico Consultant McKinsey & Company’s Ownership of $20 Million of Puerto Rico Bonds Raises Conflict of Interest Concerns
:
Updated:
Criminal Securities Fraud: Jury Convicts Former NJ Investment Manager Over $10M Ponzi Scam and Wilmington Trust Executives Get Prison Term of Six Years
:
Updated:
Financial Firm News: Goldman Sachs Faces Criminal Fraud Charges in Malaysia and UBS is Fined $15M Over Poor Anti-Money Laundering Detection Systems and Multibillion-Dollar Fraud Involving 1MDB Fund Leads to Criminal Charges for Goldman
:
Updated:
Investor Fraud: Ex-HCR Wealth Advisors Advisor Who Stole $1.2M from Pro Athlete Makes a Deal with the SEC, Investment Adviser and His Daughter Settle $7.9M Ponzi Scam Case, and Texas-Based Developers to Pay Over $50M in E-B Offering Scam
:
Updated:
Merrill Lynch to Pay $300K to Settle Inadequate Supervision Allegations
:
Updated:
FINRA Suspends Ex-Securities America Broker
:
Updated:
Investment Scam: Ex-MRI International CEO Convicted in $1.5B Ponzi Scam, Receiver Says Aequitas Capital Management Was Involved in $617M Fraud, and Texas-Based AriseBank CEO Is Accused in $4M Cryptocurrency Fraud
:
Updated:
Former Lombard Securities Broker Pleads Guilty in Multimillion-Dollar Ponzi Scam That Defrauded Older Investors
:
Updated:
International Assets Advisory “Proudly” Hires Brokers With “Checkered” Pasts
:
Updated:
Options Trading Website Owner Faces Charges in Alleged $4M Online Binary Options Fraud
:
Updated:
FINRA Bars Broker For Selling $10.8M of Notes in $1.2B Woodbridge Ponzi Scam
:
Updated:
Investment Fraud: Madoff Ponzi Scam Victims Receive Another $695M, Ex-Royal Alliance Associates Investment Adviser Pleads Guilty To Stealing $3M From Customers, and MoneyGram Investor Proposes Lawsuit After $125M Settlement
:
Updated:
JPMorgan Chase and Citigroup Settle Euribor Investor Case for $180M
:
Updated:
Investor Fraud: FINRA Awards Over $1M in Churning Case Against Legend Securities and Morgan Stanley Financial Adviser is Sentenced After Spending Over $950K of Clients’ Money
:
Updated:
FINRA Suspends Ex-UBS Broker Who is Now With Newbridge Securities
:
Updated:
H. Beck Ordered to Pay $400K for Unsuitable Variable Annuity Sales to Customers
:
Updated:
Alleged $17.5M Texas Investor Fraud Leads to Criminal Indictment
:
Updated:
Investor Fraud: Investment Adviser Pleads Guilty to Retirement Fund Fraud, Stock Research Firm is Sued in Alleged Pump-and-Dump Scam That Targeted Seniors, and A Rabbi is Accused of Running a $35M Ponzi Scam
:
Updated:
Ex-UBS Puerto Rico Broker Jose “Whopper” Ramirez Pleads Guilty to Bank Fraud
:
Updated:
GPB Capital Holdings’ Auditor Resigns Within Months of Private Placement Sales Suspension
:
Updated:
IMS Securities Ordered to Pay Retirement Investors $1M in UDF REIT Case
:
Updated:
Center Street Securities Broker and Lion’s Share Financial Are Accused of Defrauding Senior Retirees and Investors with Disabilities
:
Updated:
US Government Sues UBS for Residential Mortgage-Backed Securities Fraud
:
Updated:
FINRA Bars Ex-Texas Based Brokers from Merrill Lynch and RBC Capital Markets
:
Updated:
Former Next Financial Investment Adviser and Broker Pleads Guilty to Multimillion-Dollar Investor Fraud Charges
:
Updated:
Puerto Rico UBS Closed-End Mutual Fund Fraud Lawsuit Goes to Arbitration
:
Updated:
Ex-LPL Financial Broker Gets 20 Years in Prison for Securities Fraud
:
Updated:
UBS Ordered to Pay Investor $693K in Puerto Rico Bond Fraud Case
:
Updated:
FINRA Bars Another Ex-Morgan Stanley Broker
:
Updated:
Texas Couple Indicted for Allegedly Embezzling $14.5M from Retirement Funds
:
Updated:
Investor Fraud: Boston Hedge Fund Manager Pleads Guilty in Ponzi Scam Case, Ex-State Street Executive is Sentenced to 18 Months, and Willow Creek Fund Manger Must Forfeit $13M
:
Updated:
UBS to Pay $19.8M in Puerto Rico Bond Fraud Case
:
Updated:
Texas Oil and Gas Businessman Settles $80M Fraud Case Involving Breitling Energy Shares
:
Updated:
HSBC and Nomura to Pay $765M and $480M, Respectively to Settle RMBS Fraud Claims
:
Updated:
Investment Advisor Fraud: Dawn Bennett is Convicted in $20M Ponzi Scam, Guilty Plea Reached in $6.1M Fraud, and Genesis Advisory Services Operator Settles SEC Charges
:
Updated:
Fidelity is Sued Over Alleged Retirement Plan Mismanagement Again
:
Updated:
Another Ex-Morgan Stanley Broker is Barred by FINRA
:
Updated:
Investor Fraud: Man Who Solicited Women He Dated is Convicted, Real Estate Developer is Accused in $16M Financial Scam Turns Himself In, and Couple Allegedly Promised Over 2200% in Investment Returns
:
Updated:
FINRA Bars Former Morgan Stanley and Wells Fargo Brokers
:
Updated:
Financial Fraud: Massachusetts Mayor is Accused of Bilking Investors, Former Wells Fargo Broker Allegedly Stole $1M From Older Clients, and the LendingClub Asset Management Settles $4.27M Securities Case
:
Updated:
Wayde McKelvy, Accused of Defrauding Retirees and Widows in $54M Ponzi Scam, is Now on Trial
:
Updated:
Real Estate Investment Trust Cases: SII to Repay Clients Who Bought Non-traded REITs, Trustmont Financial Group is Ordered to Pay Client $1M, and Vereit Settles with More Investors Over Accounting Fraud Claims Against ARCP
:
Updated:
SEC and CFTC File Multiple Binary Options Fraud Complaints Accusing Marketers of Defrauding Investors of Millions of Dollars
:
Updated:
Securities News: Citigroup to Pay $12M Over Alleged Dark Pool Misrepresentations, SEC Issues Nearly $4M Whistleblower Award, Ex-Bankrate CEO Who Pleaded Guilty to Fraud Gets 10 Years in Prison
:
Updated:
Texas Investor Fraud: Investment Adviser is Barred in $6.8M Offering Fraud and Investment Promoter Gets 25 Years in Prison for Stealing from Clients
:
Updated:
TD Ameritrade Fined $500K For Not Reporting Investment Advisers’ Suspect Activities
:
Updated:
Two Former Meyers Associates Alleged Excessive Trading Cost Investors $3.6M
:
Updated:
Investor Fraud: Barred Michigan Investment Adviser is Accused of Defrauding Retirees of $2.7M and SEC Halts Alleged $345M Ponzi Scam That Bilked Seniors, Retail Investors, and Small Business Owners
:
Updated:
Investors Suing UBS Puerto Rico Over Closed-End Fund Losses Are Denied Class Action Certification
:
Updated:
SEC Issues $55.5M in Whistleblower Awards
:
Updated:
Investor Fraud: Steele Financial is Accused of Selling Over $13M in Risky Securities, NJ Broker Allegedly Cherry Picked Trades, and the SEC Files Charges in $27M Microcap Fraud
:
Updated:
Hedge Fund Fraud Cases: Adviser is Accused of Short-and-Distort Scam and Digital Asset Manager Faces Misrepresentation Allegations
:
Updated:
Another Texas-Based Wells Fargo Broker is Barred by FINRA
:
Updated:
FINRA Bars Former JP Morgan, Stifel Nicolaus, and Benjamin & Jerold Brokers
:
Updated:
Financial Firm News: Includes Lincoln Investment Planning, Grenda Group, and Massachusetts Financial Services Company
:
Updated:
New Report Suggests Banco Popular de Puerto Rico Could Be Held Liable Over Island’s Final Junk Bond Issuance
:
Updated:
Investigations Involving William A. Hightower of UBS Financial Services and Legacy Asset Securities Inc.
:
Updated:
Investors Bilked in $1.2B Woodbridge Ponzi Scam Must Pay 16% to Borrow on What They Are Owed
:
Updated:
1 Global Capital Accused of Defrauding Retail Investors in Alleged $287M Unregistered Securities Scam
:
Updated:
Dallas, Texas-Based Wells Fargo Broker Expelled by FINRA
:
Updated:
Investors in UDF IV REIT Want Texas Federal Judge to Approve $13.5M Ponzi Fraud Settlement
:
Updated:
Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services
:
Updated:
Oppenheimer Found Liable for Representative Mark Hotton’s Fraud
:
Updated:
Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models
:
Updated:
Oppenheimer Continues to Show Serious Supervisory Deficiencies
:
Updated:
Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models
:
Updated:
Securities News: Genstar to Acquire Cetera With $1B in Junk Bond Sales, Financial Adviser Admits to Fraud Involving $2M Trading Loss, and BlackRock Funds Shareholders Sue Over Excessive Fees
:
Updated:
Investor Fraud: Alleged $100M Future Income Payments Fraud, Capital Investment Group to Pay One Elderly Investor $400K, and Tech Fund Adviser is Now Facing Fraud Charges
:
Updated:
Unregistered Brokers Are Charged With Selling More Than $243M of Woodbridge Securities to Over 1600 Investors
:
Updated:
Ex-Wells Fargo Advisors Claim Bank Pressured Them to Sell Products That Charged Higher Fees to High-Net Worth Investors
:
Updated:
Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Puerto Rico UBS Bond Funds
:
Updated:
GPB Capital Holdings Stops Selling Private Placements in GPB Funds to Investors
:
Updated:
Alleged $135M Ponzi Scam Involving Equitybuild
:
Updated:
Securities Cases: Goldman Sachs Investors Can Proceed with $13B CDO Fraud Litigation, Deutsche Bank Resolves Self-Dealing Lawsuit for $21.9M, and Elkhorn Capital Group Founder is Accused in $2.5M ETF Fraud
:
Updated:
Larry Dearman, Sr. Ponzi Scheme Investigation
:
Updated:
Ameriprise Financial to Pay $4.5M Over Alleged Failure to Protect Investors
:
Updated:
Securities Fraud Allegations Against Former Merrill Lynch/RBC Financial Adviser Could Lead to More Unauthorized Trading and Failure to Supervise Claims
:
Updated:
Defective Security Swaps
:
Updated:
Precious Metal Investments
:
Updated:
SSEK Investigating Claims Involving Jeff Wilson and Wells Fargo
:
Updated:
Retired Couple Awarded $800,000 in Damages From Oppenheimer & Co., Inc
:
Updated:
Wilmington Trust Agrees to $210M Settlement in Shareholders’ Bank Fraud Lawsuit
:
Updated:
Platinum Partners Principal Pleads Guilty to Fraud
:
Updated:
Cryptocurrency Fraud Allegations Lead to Criminal Allegations Alleging $32M ICO Scheme
:
Updated:
Assured Guaranty Sues Puerto Rico Over Fiscal Rescue Plan
:
Updated:
Securities Cases: Anti-Money Laundering Violation Allegations Lead to $5.3M Fine Against ICFBCFS, Three Houston-Based Healthcare Executives are Accused of Falsifying Financial Information, and Pension Fund Accuses Wells Fargo of Holding Back Rebate Fees
:
Updated:
Royal Bank of Scotland Settles Mortgage Fraud Case for $4.9B
:
Updated:
Gerova Financial Group Chairman and Others Plead Guilty
:
Updated:
Investor Fraud: Four More People Charged in $34M Biozoom Stock Scam, Alternative Investment Firm Owner is Accused of Misappropriating Nearly $6M, and California Investment Adviser Settles Allegations in $71M Scheme
:
Updated:
Texas Regulator’s Probe Uncovers Widespread Cryptocurrency Fraud
:
Updated:
Judge Rules Against Ex-UBS Puerto Rico Broker in Closed-End Fund Case
:
Updated:
Recent Criminal Securities Fraud Cases: Ex-OmniView Capital Advisers CEO is Convicted in $300M Fraud, Jury Finds Former-Wilmington Trust Executives Guilty, and Jury Finds Two Hedge Fund Professionals and a Health Consultant Guilty in Insider Case
:
Updated:
LPL Financial Agrees to Pay $26M Over Unregistered Securities to State Securities Regulators
:
Updated:
Massachusetts Hedge Fund Manager Sentenced to Prison for Investor Fraud
:
Updated:
Ex-UBS Official Recounts How the Bank Got Investors to Take on More Puerto Rico Debt
:
Updated:
$85M Ponzi Scam Allegedly Defrauded at Least 150 Investors
:
Updated:
Panasonic Settles Accounting Fraud and FCPA Violation Charges For $280m
:
Updated:
JB FINANCIAL RESOURCES ORDERED TO PAY $750K OVER $1.2B WOODBRIDGE PONZI SCAM
:
Updated:
$27M IN LONGFIN STOCK SALE PROCEEDS PLACED UNDER EMERGENCY FREEZE OVER ALLEGEDLY ILLEGAL DISTRIBUTIONS
:
Updated:
SECURITIES CASES: YAHOO AGREES TO PAY $35M TO SETTLE CHARGES AND A BIOTECH START UP IS ACCUSED OF ISSUING MISLEADING INFORMATION
:
Updated:
$22M HEDGE FUND FRAUD LEADS TO SEC BAN FOR MONEY MANAGER
:
Updated:
Sanctions Against Wedbush Securities in SEC and FINRA Rulings Are Upheld by the 9th Circuit
:
Updated:
Chicago Investment Adviser Daniel Glick Is Sentenced For Senior Investor Fraud
:
Updated:
SEC Proposes “Regulation Best Interests” that Would Prevent Brokers from Merely Calling Themselves Investment Adviser
:
Updated:
SEC Accuses Former Broker of $5.7M Pension Plan Fraud
:
Updated:
Investment Adviser is Accused of “Ponzi-Like” Scam Involving 50 Investors, Including Friends and Family
:
Updated:
Proposed Tax Ruling Could Bar Oil and Gas Pipelines from Structuring as Master Limited Partnerships
:
Updated:
Firm Executives Reportedly Were Aware of Domestic Violence Allegations Against High-Earning Morgan Stanley Broker for Years
:
Updated:
Santander Securities Will Shut Down Its San Juan, Puerto Rico Branch in May
:
Updated:
Texas Megachurch Pastor and Financial Planner Are Accused of Senior Investor Fraud
:
Updated:
Barclays Settles DOJ’s Mortgage-Backed Securities Fraud Case for $2B
:
Updated:
Investment Fraud: Man Who Pretended to be Financial Adviser Pleads Guilty to $13M Scam, Ponzi Fraudster is Accused of Bilking Friends & Coworkers, and Real Estate Scammers Must Pay Back Investors $30M
:
Updated:
HSBC Settles Libor Rigging Lawsuit for $100M
:
Updated:
Allegations of FCPA Violations, Inflation Schemes, and Improper Audits Lead to SEC Fraud Cases
:
Updated:
Wedbush Securities Faces Failure to Supervise Charges Over Broker’s Pump-And-Dump Scam
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Updated:
Aegis Capital to Pay Over $1M to the SEC and FINRA to Settle Allegations Involving Low-Priced Securities and Anti-Money Laundering Violations
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Massachusetts Regulator Accuses ARO Equity of $5.8M Ponzi Scam that Bilked Seniors
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Bank of America to Pay $42M to New York Over Fraudulent “Masking” Involving Electronic Trading
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Broker Fraud Allegations Lead to Finra Bars for Northwestern, Fortune Financial, and Morgan Stanley Representatives
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FINRA Panel Orders UBS to Pay $204K in Puerto Rico Bond Fraud Claim
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Judge Says Ex-F-Squared CEO Must Pay More Than $13M Related to AlphaSector Strategy and ETF Fraud
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Goldman Sachs Gives LPL Financial Holdings Clients Access to Securities Lending
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SEC Grants $83M in Whistleblower Awards in $415M Bank of America Settlement
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Stock Fraud: Fyre Festival Founder to Pay $26M After Guilty Plea, Promoter is Accused of Defrauding Gold Mining Stock Investors, and SEC Prevents Alleged Pump-And-Dump Scam
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Theranos and Founder Elizabeth Holmes Charged in Alleged $750M Fraud
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Strategic Return Notes
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Massachusetts Investigates Wells Fargo Advisers
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Investigation Underway of Asset Management Fund’s (“AMF”) Ultra Short Fund (AULTX) and the Role of Shay Asset Management
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Ex-Equifax Trader is Accused of Insider Trading Before Data Breach News Was Disclosed to the Public
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Securities Industry Headlines: Convicted Hedge Fund Manager Martin Shkreli Gets Seven Years, Zohar Investment Funds File for Bankruptcy Protection, and Ex-Morgan Stanley Investment Adviser Named in $34M Securities Arbitration Loss Lands at Pinnacle
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Voya Holdings Subsidiaries to Repay Mutual Funds Over $2M
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Texas Securities Cases: Austin Investment Adviser to Pay Over $715K to Settle Cherry Picking Allegations and Dallas-Based Oil and Gas Company is Accused of $95OK Investor Fraud
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Royal Bank of Scotland Settles NY’s RMBS Fraud Case for $500M
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Securities News: Wells Fargo’s Wealth Management Division is Reportedly Under Investigation, Merrill Lynch is Accused of Gatekeeping Failures Involving Unregistered Securities Sales, and NYSE Must Pay $14M Over Regulatory Failures
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FINRA Cases: Allegis Investment Adviser and Ex-Broker Ordered to Pay Nearly $405K, Former Madison Avenues Securities Broker Accused in $1.67M Unauthorized Trading Case is Barred by FINRA, and US Senator Elizabeth Warren Introduces Bill To Address Unpaid Arbitration Awards
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Retirement Accounts : Ameriprise Settles SEC Allegations That It Overcharged for Mutual Funds & Fidelity Undergoes Customer Exodus from Flagship Funds
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UK Brokerage Firm is Accused of $50M Stock Fraud as SEC Files Manipulative Trading Charges
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As LJM Preservation and Growth Fund Declines in Value and Announces Shut Down, Investors Suffer Losses
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Three Companies and Their Principals Accused of $11.7M Texas Oil and Gas Offering Fraud
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SEC Fights to Stop Fraud Scam Targeting Small Businesses
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Ex-Georgeson Employees Accused of Trading Bribes for Information Are on Trial for Fraud
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Financial Firm News: Hilliard Lyons Must Pay $445K to Elderly Investor, Merrill Lynch Ordered to Pay Vermont $140K After Broker Makes Unauthorized Changes, and FSC Securities Settles with Montana Regulators
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Judge Rules that Martin Shkreli Will Be Held Responsible for $10.4M in Investor Losses
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Ex-Wells Fargo Broker Barred for Alleged $180K Elder Financial Fraud
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Deutsche Bank Settles Libor Manipulation Lawsuit for $240M
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UBS Must Pay Five Clients $521,000 Over Puerto Rico Bond Fraud
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CFTC News: Regulator Warns Customers, Including Experienced Investors, About Virtual Currency Pump-and-Dump Scam and Enhances Fraud Enforcement Efforts
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Investor Fraud: Strong Investment Management Faces Allegations of Cherry Picking, a $2.5M Financial Scam Leads to Convictions, and a Former Investment Adviser Is Sentenced to Serve Prison Time
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Insider Trading: Two Former Executives Accused of Making Illegal Profits from Emeritus Stock Trading Settle SEC Charges, More Final Judgments Reached Against Circle of Amateur Golfers, and Investment Adviser Gets Six Months in Prison
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Securities Cases: Massachusetts Accuses Scottrade of Running Sales Contests and Targeting Retirees, Wife of Investment Adviser Must Pay $500K in Fraud Case, and Hedge Fund Manager and His Firms Are Ordered to Pay Almost $30M for Diverting Investor Money
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CFTC to Pay $30M to Whistleblower in $367M Asset Management Case Against JPMorgan
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BitFunder and Its Founder Face Fraud Allegations
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Texas Securities Cases: Two Dallas Men Ordered to Halt $4M Oil and Gas Offering Amidst Fraud Allegations, DavorCoin is Barred from Offering investments, and Austin Cryptocurrency Investment Firm is Told to Stops Securities Sales
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Fund Manager Accused of Losing $178M in Residential Mortgage-Backed Securities is Barred from the Industry
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Massachusetts Securities Regulator Charges Investment Advisor with Defrauding Investors, including Seniors, in 26-Year-Long $1M Real Estate Scam
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Barclays Faces New Criminal Fraud Charge Over $3B Qatar Loan
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SEC Cases: Atlanta Fund Manager is Accused of Misusing Investors’ Funds and Final Judgments are Reached in $1.95M Matched Trades Scam and in REIT Fraud Case Against Ex-ARCP CFO Brian Block
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Deutsche Bank Securities Will Pay Back Customers Over $3.7M for Commercial Mortgage-Backed Backed Securities Sales
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FINRA Cautions Investors About Scams Involving the Impersonation of the SRO
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Ex-Morgan Stanley Executive is Sentenced in Multimillion-Dollar Fraud That Targeted Widow
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Securities Firm News: Rabobank NA to Pay Almost $369M After Pleading Guilty to Felony Conspiracy, Alabama Supreme Court Says Lawsuit Against Sterne Agee Can Proceed, and Maryland Wealth Management Firm is Accused of Fraud
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Securities Fraud Cases: Businessman Accused in Jay Peak Resort-Related Investment Scheme Must Pay Back Over $81M in Investor Money, Former State Street VP Faces Another Criminal Charge, and Lawyer Pleads Guilty in $20M Stock Scam
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Deutsche Bank Securities Must Pay $70M for Trying to Rig the ISDAFIX Benchmark
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SEC Stops Alleged $5.3M Hedge Fund Fraud Involving Willow Creek Advisors
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Two Former Morgan Stanley Investment Advisers Accused of Fraud Plead Guilty
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BNP Paribas to Pay $90M After Pleading Guilty in FX Currency Rigging Probe
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Texas Securities Cases: Ex-LPL Financial Adviser is Suspended for Charging Unreasonable Fees and Commissions, State Regulator Enters Cease and Desist Order Against R2B Coin, and Former Pharr Bank Worker Pleads Guilty to $1M Theft Involving Elderly Customers
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Deutsche Bank, UBS, and HSBC Securities Settle Respective Spoofing Cases with the CFTC for $46.6M
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AriseBank in Dallas is Accused of Alleged $600M ICO Offering Fraud
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SEC Cases: Woodbridge Agrees to Pay Legal Fees for Investors Harmed in Alleged $1.2B Ponzi Scam, Hoplon Financial Group is Accused of $2.18M Securities Offering Scheme, and Ticket Reserve Settles Investor Fraud Charges
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Goldman Sachs is Lead Plaintiff in Institutional Investor Fraud Lawsuit Against Startup Outcome Health
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Securities Fraud: Fast Food Restaurant Employees Allegedly Posed as SEC Employees to Bilk Investors, Chicago Investment Adviser Pleads Guilty to Defrauding Senior Investors, and Man Awaiting Real Estate Investment Fraud Sentence is Arrested While Trying to Leave the US
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CFTC and Massachusetts Regulator Accuse Bitcoin and Cryptocurrency Operators of Selling Unregistered Securities
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HSBC Arrives at $100M Currency Rigging Settlement with DOJ
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FINRA Awards more than $4M to Elderly Investors Bilked by Ex-First Allied Securities Broker
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Investors Continue to Go After Goldman Sachs in the Wake of Abacus CDO-Related Losses
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Barclays Capital Trader is Indicted in Massive Front Running Scam
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BitConnect Shutters Its Lending and Exchange Operation, Leaving Texas Investors With No Place to Trade Their BCC Currency
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FINRA Cases: Ex-Morgan Stanley Broker and Former Western International Securities Broker Are Barred, Questar Capital Ordered to Pay $797K Restitution Over Mutual Fund Sales, and Morgan Stanley Smith Barney is Accused of Not Sending Millions of Margin Disclosures
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US Supreme Court to Hear Challenge Against SEC Over In-House Judges
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Securities Fraud: Attorney Ordered To Pay Disgorgement in Alleged $15.8M Investor Fraud, and Investment Adviser Accused of Bilking Professional Athletes Pleads Guilty, as Does Hedge Fund Manager In A Separate Investor Scam
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Securities News: Meyers Associates Fined $75K for Sales Literature, Former Royal Bank of Scotland Trader is Banned For Rigging Libor, and Ex-Credit Union CEO is Sentenced in Bank Fraud Case
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Malachi Financial Products is Accused of Defrauding The City of Rolling Fork, Mississippi
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SEC Suspends Trading in UBI Blockchain After 900% Stock Jump from Cryptocurrency Craze
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Securities Cases: Petrobras Will Pay $2.95B in Class Action Case, Ex-Och Ziff Hedge Fund Executive is Indicted Over Investment Scam, and Former Banker is Accused of Defrauding Excel Bank of Millions of Dollars
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Criminal Securities Fraud: Former ArthroCare CFO is Sentenced in $750M Scam, Ex-Lawyer of Marti Shkreli is Convicted for Concealing Financial Scheme, and former Bankrate CFO is Accused of Rigging The Firm’s Books
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Texas Securities Regulator Orders BitConnect To Stop Allegedly Fraudulent Sales of Unregistered Bitcoin Investments
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Ex-ConvergEx Group Executive Accused of Defrauding Charities and Retirement Funds Settles Fraud Charges for $975K
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SEC Accuses Broker of Giving Some Customers Preferential IPO Access in Exchange for Over $1M in Kickbacks
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Royal Bank of Scotland Settles Mortgage-Backed Securities Fraud Case Brought by Pension Funds for $125M
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FINRA Orders Citigroup to Pay $11.5M, Including at Least $6M to Investors, Over Inaccurate Stock Research Ratings
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Multimillion-Dollar Investment Adviser Fraud Cases Target Widows, Older Investors, and Other Retail Investors
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Train Babcock Advisors Charged With $9M Fraud Against Charity Client
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Houston Technology Company is Accused of $28M Texas Securities Fraud
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Regulators Fine Merrill Lynch $26M and J.P. Morgan Securities $2.8M, Respectively
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Financial Firm News: Raymond James Fined $2M Over Email Supervision, FinMa Finds JPMorgan Chase Responsible for Anti-Money Laundering Violations, and Bank of America, Wells Fargo, Citigroup, and Other Big Banks Get Federal Approval for Their Living Wills
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FINRA Warns About Cryptocurrency Related-Fraud
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UBS Did Not Fully Disclose the Risks Involved in Puerto Rico Bond Funds to Investors and Brokers, Reports CNBC
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Woodbridge Group and Owner Accused of $1.2B Ponzi Scam that Targeted Over 8,400 Investors, Including Senior Investors
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UBS Group Ordered to Pay Former CMBS Strategist Turned Whistleblower $903K
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SEC Suspends Trading in The Crypto Company After 2700% Rise in Its Stock Price
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FINRA Cases: Ex-LPL Broker is Barred for Not Disclosing Role in Private Securities Transactions, Merrill Lynch is Fined $1.4M For Extended Settlement Transactions, and Noble Capital Markets Agrees to Pay $225K for Failing to Disclose Conflicts to Investors
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Texas Real Estate Investor Scams Lead to Investor Losses and Criminal Cases
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SEC Cases: Biopharmaceutical Company Accused of Not Disclosing Executives’ Perks, Therapist Allegedly Insider Traded In Zulily Stock, and Immigration Lawyer Faces Claims of EB-5 Investment Fraud
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Securities Fraud: FINRA Bars Two Ex-Wells Fargo Brokers Over Unsuitable Securities Sales, Pennsylvania-Registered Representative is Accused of $2.35M Ponzi Scam, and Digital Display Ad Company Allegedly Stole Over $2M from Retail Investors
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Chicago Investment Manager Indicted Over $10M Fraud
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Westport Capital Markets LLC is Accused of Undisclosed Markups as Investors Lose Over $1M
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Securities Cases : Ex-Stock Trader Allegedly Made Over $1M from Insider Trading, Investment Advisers Accused of Conflicted Transactions & Misleading Investors, and Ex-Pro Football Player Gets 40 years Behind Bars over $10M Scam
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Ameriprise Ordered to Pay $8M Over F-Squared Alpha Sector Strategy Sales
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Ameriprise Ordered to Pay $8M Over F-Squared Alpha Sector Strategy Sales
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Ex-Financial Adviser Settles Private Equity Fund Fraud Charges in Texas
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10 Four Points Capital Partners Customers Lose $574K Because of Alleged Broker Fraud
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Securities News: Whistleblower is Awarded $4.1M, FINRA Bars Former UBS Broker Who Managed High Net Worth Investor, and Microcap Company Is Accused of Fraud
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Hedge Fund Managers Settle SEC Charges Accusing Them of Sharing Confidential Investment Information with Each Other
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Hedge Fund Managers Settle SEC Charges Accusing Them of Sharing Confidential Investment Information with Each Other
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Woodbridge Files For Bankruptcy, Misses Payments Due to Investors
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Ex-Illinois Mayor Accused in $5.2M Municipal Bond Fraud
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Texas REIT UDF Files Lawsuit Accusing Hedge Fund Manager of Damaging False Statements
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SEC Awards Two Whistleblowers $16M
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$5.4M Senior Investment Fraud Allegedly Involved Penny Stocks
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Ponzi Scams: DOJ Begins Paying Distributions to Madoff Victims, Real Estate Investment Scam Allegations Lead to Guilty Plea, and SEC Seeks to Shut Down $38M “Ad Packs” Scheme
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FINRA Cases: Craig Scott Capital Expelled Over Excessive Trading Claims, CFD Investments Fined $30K to Resolve Inadequate Supervision Allegations Involving ETFs, and H. Beck Broker is Accused of Making Unsuitable Investment Recommendations
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Ex-Nomura Holdings Manager Gets Prison Time for Insider Trading
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SEC Cases: $15.7M Final Judgment Issued in Ponzi Scam that Touted Loans to Athletes, MicroCap Issuer is Accused of Accounting Scheme, and Company’s Assets are Frozen in the Wake of Alleged $5.3M Offering Fraud
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Securities Firms: JP Morgan Securities to Pay $1.25 For Inadequate Background Checks of Thousands of Employees and Gray Financial Group Settles with SEC Over Unsuitable Investments to Pension Funds
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Hedge Funds Get Rid of Puerto Rico General Obligation Bonds After Hurricane Maria
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SEC Cases: NY Town Accused of Municipal Securities Fraud, Jay Peak Owner Accused in $200M Immigrant Visa Fraud Arrives at Tentative Settlement, and Financial Judgment is Reached in $110M Investor Fraud Against Inofin
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Investment Adviser Faces Charges That He Bilked Older Investors of $5.2M
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Texas Securities: Investment Adviser Suspended by State Commissioner, Lawyer Ordered to Pay Almost $180K in Disgorgement Plus Interest, and Houston Man Must Pay Almost $3.8M & Serve 46 Months in Prison for $6.4M Diamond Investment Scam
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SEC Cases: Biotech Company Accused of Misleading Investors & Accounting Fraud, Millennium Management Resolves Illegal Short Selling Charges, Day Trader Alleged Engaged in Unauthorized Trades in Over 100 Brokerage Accounts, and Multiple Traders Allegedly Insider Traded Based on One Tip
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Credit Suisse Resolves NY Regulator’s Forex Rigging Probe for $135M
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Singer Financial Corp. Accused of Making Illegal Securities Offering of Promissory Notes to Unsophisticated Investors
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Ex- Investment Adviser is Accused of Defrauding Retirees of Over $1.85M
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SEC Orders Wells Fargo Advisors to Pay $3.5M Penalty
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CFTC Cases: Commodity Investor Fraud Case Results in $4.5M Default Ruling and Federal Court Orders Arizona Company & Its Owner to Pay Over $2.2M in Anti-Fraud Case
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Texas Securities Fraud: Houston Investment Advisor Gets Five Years for Defrauding Investors and Prison Sentences are Rendered in $6.4M Diamond Investor Fraud Case
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FINRA Bars NY Broker For Excessive Trading in Blind Senior Investor’s Accounts
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Criminal Securities Fraud: Ex-ARCP CFO Sentenced to 18 Months for REIT Scam, Former Merrill Lynch Broker Pleads Guilty Over Excessive Commissions, and Businessman Convicted For Defrauding Washington Mutual Bank
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Criminal Securities Fraud: Ex-ARCP CFO Sentenced to 18 Months for REIT Scam, Former Merrill Lynch Broker Pleads Guilty Over Excessive Commissions, and Businessman Convicted For Defrauding Washington Mutual Bank
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UBS to Pay $3.5M Penalty To Settle Allegations that It Disadvantaged Retirement and Charity Accounts During Mutual Fund Transactions
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SEC Orders 235 LLCs to Produce Documents Related to Its Woodbridge Fraud Probe
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FINRA Cases: Ameritas to Pay $180K Fine Over Variable Annuity Sales, UBS Ordered to Pay Former Broker $3M for Defamation, and 13 Investors Awarded $5M After Losses Allegedly Caused by Ex-LPL Financial/Edward Jones Broker
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Credit Suisse and MBIA Insurance Continue to Fight Over Mortgage-Backed Securities Fraud Claims in Court
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Securities Fraud Settlements: HSBC, Deutsche Bank, and Citi Settle Libor Class Action for $132M & RBS Settles Mortgage Bond Trading Case for $44M
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Securities Cases: NYSE Regulation Files Complaint Against Wedbush Securities, Ex-Apollo Management Sr. Partner is Accused of Billing Investors for Salon Visits & Vacations, and NY Money Manager & Ex-Investment Adviser Get Prison Sentences for Fraud
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After Hurricane Maria, Mutual Fund Company Franklin Resources Sells Hundreds of Millions of Dollars of Puerto Rico Bonds
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Deutsche Bank Agrees to Pay $220M to Resolve Libor Rigging Probe
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Two Ex-Ameriprise Financial Services Brokers Settle With FINRA Over Margin Trades
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Securities News: Ex- HSBC Executive Found Guilty of Fraud Involving $3.5B Currency Trading & Hedge Fund Sues Barclays For Copper Market Rigging
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California Extends Sanctions Imposed Against Wells Fargo Following More Bad Practice Disclosures
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NY Investment Adviser Accused of Bilking Non-Profit of $9M
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Massachusetts Accuses Investment Adviser of Venture Capital Fraud
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Mining Company Rio Tinto Accused of Fraud, Settles with FCA for $36M
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FINRA Goes After Two Brokers for Variable Annuity Replacement Fraud
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Jury Rules Against Former F-Squared CEO in SEC’s ETF Fraud Case
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Wells Fargo Brokerage Firms Ordered to Pay $3.4M Over Unsuitable Exchange-Traded Product Recommendations
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Oppenheimer Funds and Other Mainland Funds Take Financial Hit in the Wake Up of Hurricanes
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SEC Cases: Whistleblower Awarded Over $1M, Lawyers Accused in Microcap Fraud, and Former Executives Are Charged in $3.3B Accounting Fraud Involving Homex
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SEC Charges Investment Adviser With Defrauding Seniors Who Were His Friends
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Barclays Fights $31B Residential Mortgage-Backed Securities Fraud Lawsuit
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Barred Broker Accused of Bilking Retirees and Other Investors of $6M
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Deutsche Bank Resolves US Currency Rigging Case for $190M
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Former Mortgage Security President Pleads Guilty to Defrauding Ginnie Mae of $2.5M
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NY Investment Adviser Charged in $19M Ponzi Scam
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Judge Approves $31M Class Action Securities Settlement Over RCS Capital Shares
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Ex-Broker Ordered to Pay $550K For Bilking Modest Income Investors in ETN/ETF Fraud Had Previous Unsuitable Investment Claims Against Him
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FINRA Charges Sandlapper Securities Over Fraudulent Private Placement Markups of Up to 270% Involving Texas Saltwater Disposal Wells
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Puerto Rico Bond Fraud Cases Name Former Morgan Stanley Broker Angel Aquino-Velez
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HSBC Ordered to Pay $175M Fine Over Forex Trading Oversight
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SEC Cases: Ex- IT Executive Accused in Stockholder Fraud, Regulator Stops E-B5 Scam in California, and Businessman is Accused of Using Investor Money to Buy Green Bay Packers Tickets
Investor Lawyers Blog