SEC Charges Three Texans in $91M Ponzi Scheme Affecting 200+ Investors

April 30, 2025

FINRA Fines Suspended Md.-Based Firm and Its Principal for Chronic Compliance Failures

April 25, 2025

FINRA Initiative Seeks to Update Rules, Improve Compliance, Limit Fraud

April 23, 2025

Former UBS Rep Barred for Borrowing $738K From Clients and Misusing Funds

April 18, 2025

SEC Suspends Ex-Trillium Capital CEO for Stock Manipulation Scheme

April 16, 2025

Judge Orders Initial Release of $400 Million to Wronged GPB Capital Investors

April 13, 2025

Alpine Securities Expelled by FINRA Amid Federal Court Fight Over Regulator’s Constitutionality

March 26, 2025

Ex-Rep of Expelled Firm Suspended for Deceptive Marketing and Pandemic Fraud

March 24, 2025

Court Orders Over $5M in Penalties as SEC Cracks Down on Global Investment Scam

March 20, 2025

SEC Obtains Final Judgment Against Texas Oil and Gas Fraudster and His Companies

March 17, 2025

Stifel on Wrong Side of One of the Largest Damages Awards in FINRA Arbitration History

March 16, 2025

Massachusetts Man Defrauds Cemetery Employees, Soliciting $1.7M for Forex Investments

March 16, 2025

UDF IV Shareholders Approve Merger With Ready Capital Corporation

March 5, 2025

NexPoint Submits Competing Proposal for UDF IV in Ongoing Dispute

March 3, 2025

Never Alone, Never Legit? SEC Charges Fraudster in $4M Investment Scheme

February 26, 2025

SEC Obtains Final Judgement in $67 Million Mortgage and Ponzi Scheme

February 23, 2025

SEC Announces Cyber and Emerging Technologies Unit to Protect Retail Investors

February 20, 2025

Final Judgments Issued Against Recidivist, Companies in Fraud Scheme

February 20, 2025

SEC Charges One Oak Capital and Rep With Breaching Fiduciary Duties

February 17, 2025

FINRA Fines Smoothie-Tossing Rep $50,000 for Structuring Scheme

February 12, 2025