Securities Fraud Blog

Recent News

SEC Complaint Cites Former Oppenheimer Rep John Woods for Massive $110 Million Horizon Private Equity Ponzi Scheme Targeting Elderly Retirees Sep 06
The Securities and Exchange Commission filed a complaint against former Oppenheimer & Co. broker ...
View Article
Jason Seale Cited for Discretionary Trading Without Permission Aug 26
FINRA fined and suspended American Wealth Management (Novato, CA) broker Jason Lee Seale for ...
View Article
Raymond James May Have Sold Unsuitable Northstar Financial Services (Bermuda) Products, Resulting in Losses Due to Northstar's Downfall Aug 10
Investors who invested with brokers or firms, such as Raymond James Financial, in the now-defunct ...
View Article
Suntrust Investment Services Rep Stephen Berrocal Accused of Unsuitable Recommendations as Northstar Financial Services (Bermuda) Saga Rolls On Aug 06
In March 2021, Northstar Financial Services (Bermuda) looked headed to bankruptcy-related ...
View Article
SEC Finds Fiduciary Duty and Suitability Failures in Wrap-Fee Program Recommendations Jul 31
The Securities and Exchange Commission identified compliance and oversight as a key area of concern, ...
View Article
Regulators Crack Down on Record Keeping and Broker Communications via E-mail, Text Message, WhatsApp, and Social Media Jul 28
After temporarily lifting some of their rules during the 2020 COVID-19 pandemic, regulators have ...
View Article