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 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, or “multiplier ETFs,” are speculative investments. Unless you are a speculative investor, an advisor or broker’s...
by Jeff Pederson | Nov 10, 2025 | Alt investment
Unsuitable crypto strategies are a form of fraud. You may have recourse if you are a moderate investor and your advisor recommended unsuitable crypto currency investments or strategies. These investments are speculative and suitable for only the most sophisticated and...
by Jeff Pederson | Nov 5, 2025 | Alt investment, General, Real Estate Investment
Investors brought multiple suits concerning Bart Harrison and the suitability of his investment recommendations. Investors filed four lawsuits in a three-year period concerning investment advice of Bart Harrison. These suits all allege that the recommendations were...
by Jeff Pederson | Nov 3, 2025 | Alt investment, FINRA Allegations
FINRA accuses First Trust Portfolios of giving brokers inappropriate gifts contingent to investment sales performance by broker. Regulators accuse First Trust Portfolios of making inappropriate payments to brokers. FINRA, the Financial Industry Regulatory Authority,...
by Jeff Pederson | Oct 31, 2025 | Alt investment, Colorado Securities Act, Energy Investment
The Yield Wealth Ponzi scheme succeeded because many agents violated securities laws in the sale of the investments. On September 9, 2025, the FBI charged Yield Wealth (“Yield”) founder Paul Regan with securities fraud and wire fraud. Yield misrepresented...
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