by Jeff Pederson | Feb 10, 2026 | Fraud, SEC Allegations
Equitable Advisors rep Ode Okuma settles charges with SEC concerning $13 million securities fraud. On February 6, 2026, the SEC settled charges against Ode Okuma for $13 million in alleged theft and securities fraud. He is alleged to have victimized his Equitable...
by Jeff Pederson | Feb 6, 2026 | Alt investment, Crypto
Crypto ETF losses may be recoverable for certain investors. Crypto ETF losses impacted many investors. However, many of these investors should have never been recommended such investments. Investments based on crypto is unsuitable for investors approaching or in...
by Jeff Pederson | Feb 4, 2026 | FINRA Allegations
Text messaging can perpetuate fraud. Benjamin F. Edwards fined for not supervising advisor texts. Benjamin F. Edwards Fined for texting violations. When advisors use private forms of communications it can be a way to commit fraud. The Financial Industry Regulatory...
by Jeff Pederson | Jan 29, 2026 | Federal Securities Laws
Heiress alleges blatant fraud at Northern Trust where advisor stole tens of millions. A recent lawsuit alleges fraud at Northern Trust. The allegations are that a senior executive stole millions from investors including a woman in her 80s. The investor’s suit is...
by Jeff Pederson | Jan 21, 2026 | FINRA Allegations
Regulators accuse Sutter Securities of fraud targeting elderly investors. Regulators charge systemic fraud at Sutter Securities. The Financial Industry Regulatory Agency (FINRA) filed suit against Sutter for such violations on January 20, 2026. Between March 2020 and...
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