Yvette Barrera, an investment adviser representative based in Texas, has been named in a civil lawsuit seeking more than $21 million in damages tied to investor losses associated with promissory note investments. The claims center on allegations that investors were directed into unregistered securities offerings, raising concerns regarding disclosure practices, suitability, and the structure of [...]

Federal authorities have brought charges against an investment manager in connection with a multi-million dollar scheme involving NextGenTech Investments LLC, a private fund marketed as offering exposure to pre-IPO shares of high-profile companies. According to prosecutors, investors were told they would gain access to shares in private companies—yet in reality, the fund held no such [...]

The collapse of Uranium Finance, a decentralized finance (DeFi) platform, has come back into focus following the criminal indictment of Jonathan Spalletta, who has been charged in connection with a $50+ million cryptocurrency theft. Federal prosecutors allege that Spalletta exploited vulnerabilities in Uranium Finance’s smart contract systems, allowing him to siphon funds from liquidity pools [...]

James Pecoraro, a broker associated with Spartan Capital Securities, LLC, has been named in a FINRA disciplinary complaint alleging churning, excessive trading, and unsuitable investment activity. The complaint alleges that brokers at the firm engaged in high-frequency trading strategies designed to generate commissions, resulting in substantial costs and losses to investors (https://fxnewsgroup.com/forex-news/regulatory/finra-files-complaint-against-spartan-capital-securities/). Key Allegations and [...]