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Investor Alert: Kraken Sues Etana Custody for $25 Million Over Alleged Misappropriation and Ponzi-Like Conduct

By |2026-05-20T09:38:29-04:00May 5th, 2026|Alternative Investment Losses, Broker / Advisor Investigations|

A new lawsuit filed by cryptocurrency exchange Kraken against Etana Custody is raising serious concerns about the integrity of third-party custodial platforms operating within the digital asset ecosystem.Payward Interactive, Inc. et al v. Etana Custody Limited (Justia Lawsuit Docket) The reports: Kraken alleges that Etana engaged in the misappropriation of client funds and operated in [...]

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Goliath Ventures Bankruptcy Proceedings: Investors Must File Proof of Claim by September 30, 2026

By |2026-05-11T09:08:23-04:00May 4th, 2026|Investor Alerts|

Investors who suffered losses in connection with the Goliath Ventures matter should be aware of an important procedural requirement in the bankruptcy process. To preserve the right to participate in any potential recovery, investors may need to file a Proof of Claim with the bankruptcy court. A Proof of Claim is the official court-required form [...]

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Investor Alert: Court Upholds $92 Million FINRA Arbitration Award Against UBS Over Tesla Short Strategy

By |2026-05-11T09:09:07-04:00May 4th, 2026|Broker / Advisor Investigations|

A federal court has now confirmed one of the largest recent FINRA arbitration awards, delivering a decisive win for investors and reinforcing the strength of arbitration outcomes. According to recent reporting (AdvisorHub: https://www.advisorhub.com/court-upholds-92-million-award-against-ubs/), a U.S. District Court judge rejected UBS Wealth Management USA’s attempt to overturn a $92 million arbitration award, which stemmed from allegations [...]

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Investor Alert: FINRA and Federal Regulators Hit Canaccord Genuity with $120 Million in Penalties for AML Failures

By |2026-05-11T09:09:39-04:00May 4th, 2026|Broker / Advisor Investigations|

A sweeping enforcement action against broker-dealer Canaccord Genuity LLC is drawing renewed attention to the role financial firms play in safeguarding investors and preventing illicit activity. Federal regulators, including Financial Crimes Enforcement Network, the U.S. Securities and Exchange Commission, and Financial Industry Regulatory Authority, collectively imposed approximately $120 million in penalties against the firm for [...]

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Investor Alert: GWG L Bond Investors Face Minimal Recovery as Bankruptcy Distributions Fall Near 3%

By |2026-05-11T09:10:19-04:00May 4th, 2026|Broker / Advisor Investigations|

GWG Holdings, Inc. L Bond investors are now confronting a stark reality. After years of uncertainty following the company’s collapse, projected recoveries through the bankruptcy process are expected to total only a small fraction of invested capital. Recent updates tied to the GWG Wind Down Trust and court-approved liquidation framework indicate that investors may recover [...]

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Investor Alert: SEC Cease-and-Desist Order Issued Against GPB Capital Holdings for $122 Million Oil & Gas Offering

By |2026-05-11T09:11:27-04:00May 4th, 2026|Broker / Advisor Investigations, Uncategorized|

Federal regulators continue to pursue large-scale unregistered securities offerings, and a recent enforcement action involving GPB Capital Holdings highlights the risks associated with private placement investments marketed to retail investors. The U.S. Securities and Exchange Commission issued a cease-and-desist order in connection with an oil and gas investment offering that raised approximately $122 million from [...]

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Investor Alert: Maryland Cease-and-Desist Order Issued Against Kwakye Bissah for Unregistered Broker Activity

By |2026-05-11T09:13:43-04:00May 3rd, 2026|Broker / Advisor Investigations|

State securities regulators continue to focus on individuals operating outside the bounds of registration requirements, and a recent enforcement action by the Maryland Securities Division highlights the risks associated with unlicensed investment activity. According to a final order issued by the Maryland Securities Division, regulators imposed a cease-and-desist order against an individual accused of acting [...]

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Investor Alert: Texas Cease-and-Desist Order Issued Against Advisor Accused of Misappropriating Investor Funds (Smith Wealth Advisors)

By |2026-05-11T09:20:59-04:00May 3rd, 2026|Broker / Advisor Investigations|

State securities regulators continue to pursue enforcement actions against financial professionals accused of misusing client assets, and a recent case out of Texas highlights the risks investors face when funds are placed under the control of an advisor without adequate oversight. The Texas State Securities Board issued an emergency cease-and-desist order against Smith Wealth Advisors [...]

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Investor Alert: New Jersey Cease-and-Desist Order Targets WhatsApp Investment Scam (Titan Macro Finance)

By |2026-05-11T09:22:08-04:00May 3rd, 2026|Broker / Advisor Investigations|

State securities regulators are continuing to take aggressive action against online investment schemes, and a recent enforcement action by the New Jersey Bureau of Securities highlights the growing risks associated with investment solicitations conducted through messaging platforms. According to the New Jersey Attorney General’s Office, regulators issued a cease-and-desist order against an entity operating under [...]

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