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 Virginia Man in Fraudulent “Free-Riding” Scheme
The Securities and Exchange Commission (SEC) has taken legal action [...]
SEC Charges Legendary Partners, LLC and its President with Reality TV Offering Fraud Targeting Mostly Elderly Investors
The Securities and Exchange Commission (SEC) has taken action against [...]
SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities
The Securities and Exchange Commission (SEC) has brought charges against [...]
SEC Charges Former Florida Brokerage Representative with Defrauding Senior and Disabled Customers
The Securities and Exchange Commission (SEC) has taken action against [...]
SEC Charges Additional Frank Executive with Fraud in Connection with $175 Million Sale of Student Loan Assistance Company
The Securities and Exchange Commission (SEC) has filed charges against [...]
New Hampshire Issuer of Crypto Asset Securities That Violated Registration Requirements Enjoined and Ordered to Pay Penalty
Judge Peter Barbadoro of the United States District Court for [...]
SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange
The Securities and Exchange Commission (SEC) has announced that it [...]
SEC Seeks to Halt North Carolina-Based Ponzi Scheme
The Securities and Exchange Commission has taken urgent action to [...]
SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports
The Securities and Exchange Commission (SEC) has announced charges against [...]
