• Investor Alert: New Developments in JPMorgan “Frank” Fraud Case Highlight Risks of Misrepresented Financial Data
  • Market Watch: Recent FINRA Disclosures & Broker Red Flags (4/30/2026)
  • Broker Alert: Ameriprise Advisor John Pescatore (formerly at Oppenheimer) Facing $200,000 Customer Dispute Over Unauthorized Account Changes
  • Broker Alert: Keith Craig Baron Barred After Misrepresentations in $359,000 Oil & Gas Investment Scheme
  • Investor Alert: Apex Clearing Corporation Fined $3.2 Million Over Securities Lending Program Impacting Millions of Retail Investors
  • Investor Alert: Cova Capital Partners LLC Cited for Reg BI Violations in Pre-IPO Private Placement Recommendations