Browse Investment Loss News Related to Brokers, Advisors, and Firms
Our primary blog addresses a wide spectrum of investor-related issues; this section focuses specifically on investment losses tied to brokers, advisors, and financial firms.
SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset Securities Offerings that Raised more than $1 Billion
The Securities and Exchange Commission (SEC) has taken legal action [...]
SEC Charges New York Registered Representative with Fraud
The Securities and Exchange Commission (SEC) has unveiled charges against [...]
SEC Charges Florida Resident with Operating $35 Million Ponzi Scheme that Targeted Church Members
The Securities and Exchange Commission (SEC) has taken legal action [...]
SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading
The Securities and Exchange Commission (SEC) has taken legal action [...]
SEC Files Subpoena Enforcement Action Against Real Estate Broker
The Securities and Exchange Commission (SEC) has announced the initiation [...]
SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors
Together with Weinstein, the Securities and Exchange Commission (SEC) has [...]
SEC Charges North Carolina Resident for Conducting Fraudulent and Unregistered Offerings of Crypto Asset Securities
The Securities and Exchange Commission (SEC) has taken legal action [...]
SEC Obtains Final Judgments Against Two Oregon Residents and Their Related Entities for Operating a $10 Million Ponzi-Like Scheme
The U.S. District Court for the District of Oregon has [...]
SEC Obtains Final Judgment Against Operator of Multi-Million Dollar Ponzi Scheme
The Securities and Exchange Commission (SEC) made an official announcement [...]
