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...
by Jeff Pederson | Jan 14, 2026 | Uncategorized
The DOJ says Brent Seaman ran a Ponzi scheme costing investors tens of millions of dollars. Brent Seaman faces accusations from federal officials for orchestrating a Ponzi scheme. The indictment reveals that from at least June 2019 to November 2022, Seaman, a resident...
by Jeff Pederson | Jan 12, 2026 | Alt investment
Conservative and moderate investors may be able to recover Blue Owl losses. Investors looking to recover Blue Owl losses have recourse. Many Blue Owl funds will lose significant value and could become essentially worthless when the Company ceases redemptions. Private...
Recent Comments