by Jeff Pederson | Dec 1, 2025 | Alt investment, SEC Allegations
Fraudster David Gentile pardoned after serving only a few days of a seven-year sentence. On November 30, 2025, investors learned the news of a David Gentile pardon. Gentile served fewer than two weeks of a seven-year sentence. The seven-year sentence is light...
by Jeff Pederson | Nov 26, 2025 | FINRA Allegations
James Holmes settles regulatory allegations of churning, document manipulation and unsuitable securities recommendations. James Holmes settled allegations of FINRA, the Financial Industry Regulatory Authority, that he brazenly falsified documents to allow him to churn...
by Jeff Pederson | Nov 21, 2025 | General, SEC Allegations
Adam and Daniel Kaplan used their fiduciary position to defraud their clients. On November 13, 2025, a federal jury convicted investment advisors and twin brothers Adam and Daniel Kaplan of wire fraud conspiracy, wire fraud, investment advisor fraud, and money...
by Jeff Pederson | Nov 20, 2025 | FINRA Allegations
Barry Buchholz is accused by heirs of making unauthorized trades in the accounts of a client’s heirs. Barry Buchholz is an LPL broker. He accepted a suspension from the Financial Industry Regulatory Authority (FINRA) over allegations of unauthorized trading in...
by Jeff Pederson | Nov 19, 2025 | Alt investment
Leveraged ETFs are illegally sold to most investors and no investor should hold for more than a day or two. Leveraged ETFs are speculative investments. Unless you are a speculative investor, an advisor or broker’s recommendation of such investments is likely...
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