by Jeff Pederson | Apr 6, 2026 | FINRA Allegations, Fraud, Insurance
Ameriprise annuity switching can be a form of fraud. Ameriprise annuity switching led to a $1.4 million settlement with regulators. Investors recommended that they exchange an annuity at Ameriprise of a new annuity should speak to a professional to determine if they...
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 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 | Dec 21, 2025 | Alt investment, Colorado Securities Act, FINRA Allegations
If you were an investor of Keith Michael D’Agostino there is a good chance you were the victim of fraud. If you were a victim of Keith Michael D’Agostino, also known by the last name “Dagostino,” please contact us for a free initial...
by Jeff Pederson | Dec 18, 2025 | Federal Securities Laws, FINRA Allegations, State securities laws
Spartan Capital churning cost investors who trusted the firm. Victims of Spartan Capital churning should seek legal representation. Churning is an action where a broker recommends trades, often frequent trades, that serve the broker’s interest over the...
by Jeff Pederson | Dec 11, 2025 | FINRA Allegations, SEC Allegations
Kyle Ray Critcher is alleged to have misrepresented bonds as being FDIC insured. Kyle Ray Critcher is accused of misrepresenting bonds as being FDIC-insured. First registered in 2021, Critcher is a former broker LPL Financial. Regulators allege that in July 2024,...
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