by Jeff Pederson | Mar 23, 2026 | Fraud
Avinesh Shankar signed 64 customer names without the customers’ permission on 115 annuity applications. Between November 2022 and January 2024, Avinesh Shankar signed 64 customer names without the customers’ permission on 115 annuity applications. This is...
by Jeff Pederson | Feb 26, 2026 | Alt investment
A private credit recommendation must be suitable regardless of an investor’s worth. A private credit recommendation can lead to a substantial loss of life savings. Investors should understand their rights when they are recommended such investments. Your advisors...
by Jeff Pederson | Feb 16, 2026 | Fraud, SEC Allegations
Wells Fargo may be responsible for the thefts of Kenneth Welsh. Wells Fargo may be responsible as the SEC accuses Kenneth Welsh of stealing more than $3 million from his Wells Fargo clients. The SEC barred Kenneth A. Welsh, 44, from the financial services industry on...
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...
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