• 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: Cova Capital Partners LLC Cited for Reg BI Violations in Pre-IPO Private Placement Recommendations
  • Investor Alert: Sestante Capital LLC Advisor Giovanni Pennetta Pleads Guilty in Pre-IPO Fraud Scheme, Sentencing Set for June 2026
  • The QC Capital Reg D Case: When Private Offerings Look Institutional but Transfer Risk to Investors
  • Regulation D Risk Exposure: How Private Offerings Transfer Liability Before Investors Realize It