The Sonn Law Group Blog provides educational insights on investor protection, securities regulation, and investment loss recovery. Our articles analyze publicly available FINRA BrokerCheck disclosures, FINRA enforcement actions, and developments involving broker misconduct, unsuitable investment recommendations, and brokerage supervision. All content is informational in nature and designed to help investors better understand regulatory issues and their potential options.
- INVESTOR ALERT: The Inspired Healthcare Capital Collapse Is Deepening (2/20/2026)
- FINRA Arbitration Attorney Miami: Strategic Investor Recovery in a Changing Financial Landscape (2026) (2/20/2026)
- ¿Perdió Dinero Invirtiendo en Inspired Healthcare Capital?” www.SonnLaw.com 1-844-689-5754 (2/19/2026)
- IHC Insolvency Allegations: What Investors Need to Know Now (2/19/2026)
- PERDIDO DINERO EN INSPIRED HEALTHCARE CAPITAL? SONNLAW.COM 1-844-689-5754 (2/19/2026)
- LOST MONEY IN INSPIRED HEALTHCARE CAPITAL? (2/19/2026)
- Inspired Healthcare Capital Files Bankruptcy | Investor Recovery & FINRA Arbitration Claims – We Help Investors (2/18/2026)
- The Inspired Healthcare Capital Collapse: A Comprehensive Guide to Investor Recovery, Liability, and Litigation (2/18/2026)
- Crypto Fraud Fallout: Former LPL Financial Broker Ordered to Pay $1.4 Million Over Fraudulent Crypto Schemes (2/17/2026)
- Crypto Investment Fraud: Ex-LPL Broker Ordered to Pay $1.4 Million to Defrauded Investors (2/16/2026)
- Former Wells Fargo Advisor Barred by SEC After $3 Million Client Theft Scheme (2/16/2026)
- Ponzi Schemes: A Deeper Look at Liability, Recovery, and Real-World Investor Claims (2/14/2026)
- Ponzi Schemes in the Modern Era: From Classic Frauds to Crypto Illusions (2/14/2026)
- FINRA Arbitration Awards Millions: What the UBS Case Reveals About Investor Recovery (2/13/2026)
- Broker Patricia Holder Facing Investor Allegations Involving Securities-Backed Lending Strategy (2/13/2026)
- Unmasking the Shadows: Financial Fraud in the Elite World (2/13/2026)
- Beyond the $9.5M Settlement: What the Reshad Jones Case Reveals About Criminal Liability and Institutional Risk (2/13/2026)
- Private Placement Sales Practices: When Marketing Becomes Misrepresentation (2/13/2026)
- The Psychology of Private Placement Sales: How Sophisticated Investors are Persuaded (2/13/2026)
- High-Risk Private Placement Recovery: When “Exclusive” Deals Lead to Investor Harm (2/13/2026)
- Unsuitable Investment Attorney: When Financial Advice Crosses the Line (2/12/2026)
- FINRA Arbitration Attorney: The Path Investors Use to Recover Losses From Broker Misconduct (2/12/2026)
- FINRA Arbitration Attorney: The Investor’s Blueprint for Loss Recovery (2/11/2026)
- Investment Fraud Lawyer: Bridging the Gap Between Financial Collapse and Legal Recovery (2/11/2026)
- The $400 Million Illusion: What the “Fake Invoice” Scandal Reveals About Modern Financial Fraud (2/11/2026)
- Were You Misled Into a High-Risk Investment? Navigating the Path to Financial Recovery (2/11/2026)
- Former UBS Broker Dimitrios Michelis Faces $5.8 Million in Pending REIT-Related Claims (2/11/2026)
- Todd Anthony Cirella of Laidlaw & Co. Faces $350,000 Arbitration Claim Over Illiquid Investments (2/11/2026)
- $3.4 Million FINRA Claim Filed Against William Brian Candler Over Private Placement Losses (2/11/2026)
- UBS Advisor Igor “Gary” Harlap Faces FINRA Arbitration Over Structured Notes (2/11/2026)
- Can I Sue My Financial Advisor? Understanding Your Legal Rights After Investment Losses (2/10/2026)
- FINRA Fines Broker-Dealer Over Regulation Best Interest Failures: What Investors Should Know About Supervisory Breakdowns (2/10/2026)
- FINRA Suspends 39-Year Veteran Over $100,000 in Unnecessary Fees (2/10/2026)
- FINRA Sanctions Taglich Brothers for Regulation Best Interest and Form CRS Violations (2/9/2026)
- FINRA Bars Former Broker Jeyakumar Nadarajah for Failure to Cooperate with Investigation (2/9/2026)
- Arkadios Capital Sanctioned by FINRA for Reg BI Failures Involving Complex ETFs (2/9/2026)
- Ponzi Schemes Explained: How Investors Can Pursue Recovery (2/4/2026)
- Gary Harlap Investor Complaint Alleges $100,000–$500,000 in Losses Involving UBS Advisor (2/4/2026)
- Broker Misconduct: What Investors Need to Know Before Filing a Claim (2/4/2026)
- James Walesa Barred by FINRA: What This Means for Triad and Arkadios Capital Investors (2/4/2026)
- Is Your Financial Future at Risk? How to Spot Securities Fraud and Broker Misconduct (2/4/2026)
- Regulation Best Interest and Excessive Trading: What a Recent FINRA Complaint Reveals (2/4/2026)
- Regulation Best Interest in Action- What a Recent FINRA Complaint Reveals About Excessive Trading Risks (2/4/2026)
- Investment Suitability and Supervision Considerations for Clients of Money Concepts Capital Corp Broker Tally Lykins (2/4/2026)
- FINRA Rule 8210 and Investor Protection: What Recent Enforcement Highlights (2/3/2026)
- FINRA Files Disciplinary Complaint Involving Sutter Securities Inc. and Former Executive (2/3/2026)
- FINRA Complaint Raises Questions About Boustead Securities, Sutter Securities, and Supervisory Oversight (2/3/2026)
- Investment Loss Options for Clients of Former Commonwealth Financial Network Broker Shabri G. Moore (2/3/2026)
- Unsuitable Investment Recommendations Alleged Against Former Merrill Lynch Broker Harold Reinstein (2/3/2026)
- How to Recover Investment Losses Through FINRA Arbitration (2/3/2026)
- Invested With Arete Wealth Management Broker Walter Nelson? What You Should Know (2/2/2026)
- Emerson Equity LLC Broker Thomas Justice Accused of Unsuitable Investment Recommendations (2/2/2026)
- Great Point Capital LLC Broker Joseph Kocsis Under Investigation for Investment Losses (2/2/2026)
- Stifel Nicolaus Broker Edward Villanyi Faces $100,000 Complaint for Unauthorized Trading (2/2/2026)
- Newbridge Securities Broker James Cox Subject of Five Customer Disputes & FINRA Suspension (2/2/2026)
- Options for Clients of Wedbush Securities Inc. Broker Raymond Chow (2/2/2026)
- FINRA Suspends Broker Eduardo Leon for Borrowing $750,000 From a Customer Without Firm Approval (1/16/2026)
- Former UBS Broker Settles Unauthorized Trading Claims for $1 Million (1/15/2026)
- FINRA Sanctions Former LPL Broker for Misrepresenting Corporate Bonds as FDIC-Insured CDs (1/12/2026)
- Can I Sue My Stockbroker? Your Legal Rights Explained (1/8/2026)
- FINRA Sanctions Carter, Terry & Company Over Reg BI Failures in UIT Sales (1/8/2026)
- FINRA Suspends Former LPL Broker David J. Taddeo Over Undisclosed Private Securities Transactions (1/7/2026)
- Shomari Hearn: Why Was Palisades Hudson Advisor Fired? (1/5/2026)
- FINRA Suspends Broker Keith Dagostino for Alleged Best Interest Failures (12/29/2025)
- FINRA Files New Complaint Against Spartan Capital Securities Over Supervision of High-Risk Brokers (12/19/2025)
- RBC Capital Markets Broker Paul R. Meyer Suspended for Discretion Violations (12/16/2025)
- FINRA Files New Disciplinary Complaint Against Spartan Capital, CEO John Lowry, and CAO Kim Monchik (12/16/2025)
- FINRA Alleges Gustave J. Schmidt Hid Compensation on Pre-IPO Private Placements (12/11/2025)
- Former Morgan Stanley Broker Kirk J. Crossen Faces FINRA Complaint Over $400,000 in Undisclosed Loans from Elderly Client (12/9/2025)
- Broker Randall Duggan Investigated by Washington Regulators Amid Multiple Investor Complaints (11/19/2025)
- Former Broker Brian R. Marston Under FINRA Investigation for Alternative Investment Recommendations (11/12/2025)
- Sean T. Sullivan CRD 6283466 Denies Charges Against Him Publicly Filed by FINRA Filed September 23, 2025 in a FINRA Disciplinary Action (10/21/2025)
- FINRA Targets Spartan Capital’s Kim Monchik for Disclosure Failures and Rule Violations (10/20/2025)
- Merrill Lynch Broker Michael F. Ginestro Faces $2.4 Million Pending Customer Dispute (10/16/2025)
- $450K Dispute Filed Against J.P. Morgan Broker Richard Ciraco (10/9/2025)
- FINRA arbitration panel awards up to $11.2 million to Citigroup Customer (10/2/2025)
- Broker Ford Gray Keeler Faces $210K Pending Customer Dispute Over Alternative Investments (9/30/2025)
- Former MML Investors Services Broker Jihoon Park Faces Suspension and $2.6M Customer Complaint (9/25/2025)
- Edward Jones Broker Zwi Anthony Pechthalt Faces Multiple Customer Complaints (9/25/2025)
- FINRA Accuses Synapse Brokerage Executives of Failures Tied to $2 Billion Fintech Platform (9/22/2025)
- FINRA Files Complaint Against Broker James Thaddeus Walesa Over Refusal to Cooperate (9/17/2025)
- Broker Ali Chehab Faces FINRA Complaint for Failing to Provide Requested Documents (9/12/2025)
- FINRA Alleges Brokers Refused to Testify in Investigation Into Penny Stock Transactions (8/27/2025)
- Indiana Broker Jason Michael Poschinger Suspended by FINRA for Taking Confidential Client Data (8/25/2025)
- Connecticut Broker Anthony Neil Wenham Suspended by FINRA for Concealing Losses (8/14/2025)
- Illinois Broker Linda Sokol Francis Barred by FINRA for Failing to Cooperate with Investigation (8/7/2025)
- Jordan Paul Meadow Barred by FINRA Over Alleged Insider Trading (8/1/2025)
- Second Circuit Upholds ERISA Protections in Morgan Stanley Deferred Comp Dispute (7/29/2025)
- Five National Broker-Dealers Fined More Than $9M for Excessive Commissions (7/21/2025)
- SEC Charges Georgia Loan Executive with Running $140 Million Ponzi Scheme (7/17/2025)
- Jarrett Carter Thomas Suspended by FINRA for Unauthorized Transactions (7/14/2025)
- Jonathan Earl Best Sanctioned by FINRA for $14M Unauthorized Trades (7/11/2025)
- Derek Lee Copeland Barred by FINRA for Nearly $11M in Private Deals (7/10/2025)
- Nathan D. Caldwell Barred by FINRA After Refusing To Cooperate With Document Request (6/27/2025)
- Cody Keller Barred by FINRA After Failing to Cooperate With Regulatory Investigation (6/20/2025)
- William Worthen King Suspended by FINRA for Unauthorized Trading (6/10/2025)
- James Allen Bowman Barred by FINRA After Refusing Testimony in Reimbursement Probe (6/5/2025)
- Glenn Ngo Barred by FINRA Over Refusal to Cooperate (5/22/2025)
- William Grady Under Scrutiny for Conservation Easement Investment Dispute (5/21/2025)
- Pending FINRA Case Alleges Broker Phillip Kao Misled Investor on Real Estate Deal (5/20/2025)
- Emerson Equity Broker Brian Nelson Named in Multiple Real Estate Arbitration Cases (5/20/2025)
- Centaurus Broker Stuart Spivak Named in Multiple Customer Disputes (5/14/2025)
- Axiom Capital Broker John Lemak Named in $475K Private Placement Arbitration (5/2/2025)
- Christopher Campbell Faces Civil Lawsuits Tied to Risky Direct Real Estate Investments (4/22/2025)
- LPL Financial Broker Bentley Beard Under Investigation for Real Estate Investment Complaint (4/22/2025)
- Former Broker David Page Under Scrutiny for Excessive and Unsuitable Trading (4/17/2025)
- Arete Wealth Broker Jason Lamb Faces Multiple Complaints Over Alternative Investment Losses (4/14/2025)
- Ex-LPL Advisor Barred Over $11M in Outside Investments and Off-Channel Communications (4/2/2025)
- Pyramid Schemes Explained: How They Work and What To Do if You’ve Been Scammed (3/6/2025)
- Protect Your Investment With an Investment Fraud Attorney (1/22/2025)
- Broker Embezzlement Attorney (1/14/2025)
- Negligent Failure To Execute Trades: Investor Protections and Legal Recourse (12/30/2024)
- What Is Excessive Use of Margin Trading? (12/12/2024)
- What Is Broker Negligence? (11/25/2024)
- Yieldstreet Investors Reach Preliminary Approval of $9.95 Million Class Action Settlement (11/21/2024)
- What is Selling Away? Risks, Regulations and Legal Recourse (11/13/2024)
- Morgan Stanley Loses Bid to Undo Adverse Ruling in Deferred Comp Suit (11/11/2024)
- How to Become a Whistleblower (10/29/2024)
- What is an Investment Fraud Lawyer? (10/29/2024)
- What Are Structured Finance Products? (10/28/2024)
- Understanding Investment Loss Recovery (10/28/2024)
- Recovering From Conservation Easement Losses (10/28/2024)
- Understanding FINRA Rule 4512: What Investors and Firms Need to Know (10/28/2024)
- Stifel Ordered To Pay $14.3 Million Over Miami Broker’s Structured Note Strategy (10/4/2024)
- CLASS ACTIONS FILED FOR CUSTOMERS NOT PAID A “REASONABLE INTEREST RATE” ON THEIR CASH AT THEIR BROKERAGE FIRM (8/23/2024)
- DRIVE PLANNING PONZI SCHEME UPDATE, RECEIVER APPOINTED (8/15/2024)
- How to File a Complaint Against a Financial Advisor (8/8/2024)
- Solicited vs. Unsolicited Trades: What Investors Need To Know (6/26/2024)
- WILLIAM CALEB BENNETT TERMINATED FROM PARK AVENUE SECURITIES LLC (6/6/2024)
- 6 Infamous Ponzi Schemes and How To Avoid Them (5/23/2024)
- What Are the Complaints & Regulatory Actions Against Spartan Capital Securities? (5/3/2024)
- MICHAEL SCOTT ROSENBACH TERMINATED FROM UBS FINANICAL SERVICES (4/18/2024)
- Sonn Law Announces That Morgan Stanley Finanical Advisors Win $3 Million in Deferred Compensation in FINRA Arbitration (3/25/2024)
- FINRA FINES BOLTON CAPITAL; CUSTOMER RECORDS EXPOSED IN A DATA BREACH (2/28/2024)
- Investor Lost $300,000 to an LPL Financial Advisor Who Recommended a Loan Strategy (2/28/2024)
- Ex-Morgan Stanley Brokers Must Arbitrate Class Claim Over Deferred Comp, Judge Rules (2/28/2024)
- Ex-Oppenheimer advisor sentenced to 8 years for $50M Ponzi scheme, Horizon Private Equity III (2/28/2024)
- ¿Qué puedo hacer para evitar ser estafado? (2/20/2024)
- ¿Puedo Demandar a mi Asesor Financiero? (2/14/2024)
- Regulatory Settlement: LPL Penalized for Securities Violations (2/8/2024)
- Hoisting Expertise: Edward Jones Invests in Advisor Credentials (2/8/2024)
- An All-Inclusive Approval of Tax Legislation with Bonus Depreciation (2/8/2024)
- The Enforcement Actions Reference: SEC Charges Citigroup Subsidiaries for Regulatory Violations (2/8/2024)
- SEC vs. Coinbase: The SEC’s Allegations Against Coinbase (2/8/2024)
- The HyperFund Pyramid Scheme: A Legal and Financial Analysis (2/2/2024)
- SEC Charges Former CEO of Medical Device Startup Stimwave with $41 Million Fraud (1/16/2024)
- SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief (1/16/2024)
- $23.5 Million Investor Claims Filed Against Stifel Broker Chuck Roberts (1/15/2024)
- $23.5 Million Investor Claims Filed Against Stifel Broker Chuck Roberts (1/15/2024)
- SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud” (12/19/2023)
- New York Businessman with Fraud and Unregistered Sales of Securities to Investors Seeking Permanent Residency in the U.S. (12/19/2023)
- SEC Charges Five Unregistered Brokers, Four Companies In Widespread Pre-IPO Fraud Scheme (12/19/2023)
- SEC Obtains Judgment Against Issuer and CEO for Unregistered Crypto Asset Securities Offering (10/26/2023)
- SEC Obtains Emergency Relief Freezing Assets of Investment Adviser Charged with Defrauding Elderly Clients (10/26/2023)
- SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised (10/26/2023)
- SEC Order Asset Freeze For Nanban Ventures, LLC (10/18/2023)
- SEC Files Subpoena Enforcement Action Against Elon R. Musk Seeking an Order Compelling his Attendance for Investigative Testimony (10/11/2023)
- SEC Charges Agent Funds and Principals with Fraud and Registration Violations; Settles with Other Agent Funds to Registration Violations (10/11/2023)
- SEC Charges Virginia Resident with Operating a Ponzi Scheme that Targeted Chinese-American Community (10/3/2023)
- SEC Charges Investment Adviser Michael E. Lewitt with Stealing $4.7 Million from Fund Investors (10/3/2023)
- SEC Files Settled Fraud Charges Against New Orleans-Based Auditor and Its Principal (10/3/2023)
- SEC Charges Three Unregistered Dealers with Registration Violations (10/3/2023)
- SEC Charges Convicted Felon with Defrauding Seniors and Making Misleading Statements in SEC Filings (10/3/2023)
- SEC Charges Louisiana-Based Investment Adviser Representative with Cherry-Picking and His Former Firm with Compliance Failures (10/3/2023)
- SEC Charges EB-5 Operator with Securities Fraud (10/3/2023)
- SEC Charges Diagnostic Imaging Company and its former CEO for misrepresenting the manufacturing costs of its flagship device. (10/3/2023)
- SEC Shuts Down Zera Financial LLC Offering Fraud (10/3/2023)
- SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading (10/3/2023)
- SEC Charges Electric Vehicle Co. for Misleading Revenue Projections Ahead of SPAC Merger (10/3/2023)
- SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance (10/3/2023)
- SEC Charges 10 Firms with Widespread Recordkeeping Failures (10/3/2023)
- SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations (10/3/2023)
- RIA, Owner to Pay $2M to Settle SEC’s Cherry-Picking Charges (9/29/2023)
- SEC Charges Former Pareteum Executives with Accounting and Disclosure Fraud (9/28/2023)
- SEC Charges Exelon, its Subsidiary Commonwealth Edison, and Subsidiary’s Former CEO Anne Pramaggiore with Fraud in Connection with Political Corruption Scheme (9/28/2023)
- SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community (9/27/2023)
- SEC Charges Three Southern California Siblings with Insider Trading (9/27/2023)
- SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings (9/27/2023)
- SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors (9/27/2023)
- SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts (9/27/2023)
- SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds (9/27/2023)
- SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme (9/27/2023)
- SEC Charges GTT Communications for Disclosure Failures (9/27/2023)
- SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties (9/27/2023)
- SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations (9/27/2023)
- Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data (9/27/2023)
- SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors (9/27/2023)
- MJ Capital Board Member Gets 9 Yrs For $190M Ponzi Scheme (9/21/2023)
- SEC Charges Financial Professional with Insider Trading in His Company’s Securities (9/19/2023)
- SEC Charges Florida Resident and Resident’s Two Companies for Operating as Unregistered Broker-Dealers (9/19/2023)
- SEC Charges Texas CBD-Inhaler Company and Its CEO in Fraudulent Securities Offerings (9/19/2023)
- SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official (9/19/2023)
- SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule (9/19/2023)
- SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction (9/18/2023)
- SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking (9/15/2023)
- SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs (9/15/2023)
- SEC Charges Nuclear Battery Startup Company and Its CEO with Fraudulently Raising Over $1.2 Million from Investors (9/15/2023)
- SEC Charges Minnesota Based Company and Founder in Alleged Fraudulent Securities Offering (9/15/2023)
- SEC Bars James Anglim (9/13/2023)
- SEC Charges Fluor Corp. for Accounting Improprieties (9/12/2023)
- Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities (9/12/2023)
- SEC Charges Privately Held Monolith Resources for Using Separation Agreements that Violated Whistleblower Protection Rules (9/12/2023)
- SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers (9/12/2023)
- SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies (9/12/2023)
- SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors (9/12/2023)
- SEC Secures Judgments Against Ameritrust and Beespoke for Investor Fraud and Misappropriation (9/12/2023)
- SEC Obtains Judgments Totaling More Than $20 Million Against Microcap Company and Related Entity in Fraud Action (9/12/2023)
- The U.S. Securities and Exchange Commission (SEC) Charges China-Based Big Data Analytics Company (9/12/2023)
- The Securities and Exchange Commission (SEC) Obtains Preliminary Injunction and Asset Freeze Against Florida Resident Involved in Ponzi Scheme Targeting Religious Community (9/12/2023)
- The U.S. Securities and Exchange Commission (SEC) Secures Final Judgment Against Canadian Individual in Microcap Fraud Scheme (9/12/2023)
- SEC Charges North Carolina Man and Entities He Controlled with Fraud (9/12/2023)
- SEC Files Settled Fraud Charges Against Los Angeles-Based “Smart Ring” Company and Its Principal (9/12/2023)
- SEC Charges Virtu Americas With Inadequate Data Security and Misleading Institutional Clients (9/12/2023)
- SEC Charges Five Advisory Firms for Custody Rule Violations (9/6/2023)
- SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate (9/6/2023)
- SEC Charges Internet Message Board User in Alleged Market Manipulation Scheme (9/6/2023)
- SEC Charges North Carolina Man in Fraudulent “Free-Riding” Scheme (8/31/2023)
- SEC Charges Recidivist and Others in Real Estate Offering Fraud (8/31/2023)
- SEC Charges Accountant for Aiding and Abetting a $110 Million Ponzi Scheme and Orchestrating a Separate Fraudulent Scheme (8/31/2023)
- SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses (8/29/2023)
- SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports (8/29/2023)
- SEC Charges LA-Based Media and Entertainment Co. Impact Theory for Unregistered Offering of NFTs (8/29/2023)
- SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary (8/25/2023)
- SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel (8/24/2023)
- SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading (8/23/2023)
- SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations (8/22/2023)
- SEC Charges UK Audit Firm, CEO, and Senior Auditor for Failures in Connection with De-SPAC Transaction (8/16/2023)
- SEC Sues Alleged Perpetrators of Fraudulent Multi-Level Marketing Scheme and Unregistered Offering (8/15/2023)
- SEC Obtains Nearly Nine Million Dollar Final Judgment Against Vika Ventures LLC (8/14/2023)
- Colombian Conglomerate Grupo Aval and Its Bank Subsidiary to Pay $40 Million to Settle FCPA Violations (8/11/2023)
- Crypto Asset Trading Platform Bittrex and Former CEO to Settle SEC Charges for Operating an Unregistered Exchange, Broker, and Clearing Agency (8/10/2023)
- SEC Charges Investment Advisory Firm and Firm’s Owner for Breaching Fiduciary Duties to Clients (8/9/2023)
- SEC Charges Former Hedge Fund Managing Director with Fraud (8/8/2023)
- SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures (8/8/2023)
- SEC Charges Recidivist and Others in Offering Fraud Scheme (8/7/2023)
- SEC Obtains Consent Judgment Against Celebrity Charged with Illegally Touting Crypto Asset Securities for Crypto Entrepreneur Justin Sun (8/7/2023)
- Fund Administrator Charged For Missing Red Flags (8/7/2023)
- SEC Charges Electric Vehicle Company and Former CEO and CFO for Misconduct Related to Spac Transaction (8/4/2023)
- SEC Charges Massachusetts Resident with $1.2 Million Offering Fraud and Ponzi Scheme (8/3/2023)
- SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants (8/3/2023)
- SEC Charges Owners of Broker-Dealer with Aiding and Abetting Violations of Net Capital Requirements (8/2/2023)
- SEC Charges Florida Resident in Connection with Ponzi Scheme Targeting Religious Community (8/2/2023)
- SEC Charges Florida Investment Adviser a Second Time for Insider Trading (8/2/2023)
- SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder (8/1/2023)
- SEC Charges Unregistered Broker for Unlawful Sales of Securities to Retail Investor (7/31/2023)
- SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset Securities Offerings that Raised more than $1 Billion (7/31/2023)
- SEC Charges New York Registered Representative with Fraud (7/28/2023)
- SEC Charges Florida Resident with Operating $35 Million Ponzi Scheme that Targeted Church Members (7/27/2023)
- SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading (7/26/2023)
- SEC Files Subpoena Enforcement Action Against Real Estate Broker (7/25/2023)
- SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors (7/24/2023)
- SEC Charges North Carolina Resident for Conducting Fraudulent and Unregistered Offerings of Crypto Asset Securities (7/22/2023)
- SEC Obtains Final Judgments Against Two Oregon Residents and Their Related Entities for Operating a $10 Million Ponzi-Like Scheme (7/21/2023)
- SEC Obtains Final Judgment Against Operator of Multi-Million Dollar Ponzi Scheme (7/20/2023)
- SEC Charges Virginia Man in Fraudulent “Free-Riding” Scheme (7/19/2023)
- SEC Charges Legendary Partners, LLC and its President with Reality TV Offering Fraud Targeting Mostly Elderly Investors (7/18/2023)
- SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities (7/14/2023)
- SEC Charges Former Florida Brokerage Representative with Defrauding Senior and Disabled Customers (7/14/2023)
- SEC Charges Additional Frank Executive with Fraud in Connection with $175 Million Sale of Student Loan Assistance Company (7/14/2023)
- New Hampshire Issuer of Crypto Asset Securities That Violated Registration Requirements Enjoined and Ordered to Pay Penalty (7/13/2023)
- SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange (7/12/2023)
- SEC Seeks to Halt North Carolina-Based Ponzi Scheme (7/12/2023)
- SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports (7/11/2023)
- SEC Obtains Final Judgments Against Former Public Company Chairman and Two Others in Fraudulent Filings and Pump-And-Dump Scheme (7/8/2023)
- SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members (7/7/2023)
- SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability (7/6/2023)
- SEC Brings Emergency Action related to Spartan Trading Company, LLC (7/5/2023)
- SEC Obtains Final Judgments Against Operators of Fake Trading Scheme Known as “EmpiresX” (7/4/2023)
- SEC Charges Former CFO of “Smart” Window Manufacturer, View Inc., for Failure to Disclose Company’s $28 Million Liability (7/3/2023)
- SEC Charges Two Oregon Residents and Their Related Entities with $10 Million Ponzi-Like Scheme (6/30/2023)
- SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement (6/29/2023)
- SEC Charges Former DWAC Board Member and Others for Insider Trading in DWAC Securities (6/29/2023)
- SEC Charges Former MusclePharm Executives with Accounting and Disclosure Fraud (6/28/2023)
- SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer (6/27/2023)
- Coral Springs man charged in $100 million ponzi scheme (6/27/2023)
- SEC Charges Florida Resident for Operating $112 Million Ponzi Scheme that Targeted Haitian-American Community (6/27/2023)
- SEC Charges Former Georgia Investment Adviser in Multipart Offering Fraud (6/23/2023)
- SEC Charges Investment Fund Founder William K. Ichioka with $25 Million Offering Fraud (6/23/2023)
- SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme (6/23/2023)
- SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies (6/22/2023)
- SEC Charges Infinity Q Investment Adviser with Fraud; Seeks Monitor to Oversee Return of Remaining Funds to Harmed Investors of the Infinity Q Private Fund (6/21/2023)
- SEC Charges Convertible Note Dealer and Its Owner for Failure to Register (6/20/2023)
- SEC Charges Microcap Company, Its CEO, and Former Consultant with Fraud and Registration Violations (6/19/2023)
- SEC Charges PIMCO for Disclosure and Policies and Procedures Failures (6/16/2023)
- SEC Charges Ohio Investment Adviser with Misappropriating Over $1.3 Million from a Retail Investor (6/15/2023)
- SEC Charges Two Individuals in Connection with Fraudulent Scheme to Illegally Sell Stock to the Public (6/14/2023)
- SEC Charges Pennsylvania Man in $30 Million Offering Fraud (6/14/2023)
- A Dealer Who Called Out the Art World’s Lack of Due Diligence Is Himself a Victim of Lisa Schiff’s Alleged Ponzi Scheme (6/13/2023)
- Umpqua Bank Hit with a Second, Multi-Million Dollar Lawsuit Over Alleged Role in Ponzi Scheme (6/13/2023)
- Federal judge certifies class action lawsuit against Eli Lilly (6/12/2023)
- SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme (6/12/2023)
- SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency (6/9/2023)
- SEC Charges Financial Advisor with Fraud for Stealing from Elderly Customers to Pay Personal Expenses (6/8/2023)
- This Bay Area bank ignored $350 million Ponzi scheme despite ‘obvious’ fraud, lawsuit (6/7/2023)
- The class action lawsuit claims that Chase Bank denies reimbursements for Zelle fraud incidents (6/6/2023)
- SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao (6/5/2023)
- SEC Charges Massachusetts-Based Firm and Its Co-Owners with Acting as Unregistered Securities Dealers (6/1/2023)
- SEC Charges Repeat Securities Law Violator with New Offering Fraud (6/1/2023)
- SEC Charges Self-Proclaimed ‘Queen of Mobile Homes’ and Three Salespeople with Fraud in Mobile Home Investment Scheme (6/1/2023)
- Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric (5/31/2023)
