Investor Alert: Texas Cease-and-Desist Order Issued Against Advisor Accused of Misappropriating Investor Funds (Smith Wealth Advisors)
State securities regulators continue to pursue enforcement actions against financial [...]
Investor Alert: New Jersey Cease-and-Desist Order Targets WhatsApp Investment Scam (Titan Macro Finance)
State securities regulators are continuing to take aggressive action against [...]
Investor Alert: FINRA Action Against J.P. Morgan Highlights Risks of Unsuitable High-Risk Investment Strategies
Financial regulators continue to scrutinize brokerage firms over failures to [...]
Investor Alert: Four Springs Capital DST and REIT Investments Raise Illiquidity and Suitability Concerns
Investors who purchased Delaware Statutory Trust (DST) or non-traded REIT [...]
Investor Alert: New Developments in JPMorgan “Frank” Fraud Case Highlight Risks of Misrepresented Financial Data
Recent developments in the high-profile fraud case involving Charlie Javice, [...]
Market Watch: Recent FINRA Disclosures & Broker Red Flags (4/30/2026)
Regulatory oversight is constant, yet investor complaints and disciplinary actions [...]
Broker Alert: Ameriprise Advisor John Pescatore (formerly at Oppenheimer) Facing $200,000 Customer Dispute Over Unauthorized Account Changes
John Pescatore (CRD #2183696), currently registered with Ameriprise Financial Services, [...]
Broker Alert: Keith Craig Baron Barred After Misrepresentations in $359,000 Oil & Gas Investment Scheme
FINRA has barred Keith Craig Baron (CRD #3231494) following findings [...]
Investor Alert: Apex Clearing Corporation Fined $3.2 Million Over Securities Lending Program Impacting Millions of Retail Investors
A recent enforcement action against Apex Clearing Corporation (CRD #13071) [...]
Investor Alert: Cova Capital Partners LLC Cited for Reg BI Violations in Pre-IPO Private Placement Recommendations
A recent FINRA enforcement action against Cova Capital Partners LLC [...]