by Jeff Pederson | Nov 7, 2025 | Insurance
FINRA alleges annuity switching fraud at Supreme Alliance and the broker failed to detect and stop it. FINRA alleges, that between September 2019 and May 2022, Supreme Alliance failed to take appropriate actions to prevent annuity “switching fraud.”...
by Jeff Pederson | Oct 29, 2025 | Alt investment, FINRA Allegations
FINRA fines and suspends Joseph Kelly over numerous alleged violations of numerous securities regulations. August 22, 2025, FINRA issued an AWC, a regulatory settlement, in which fined Joseph Kelly $10,000, suspended him from association with any FINRA member in all...
by Jeff Pederson | Oct 28, 2025 | Colorado Securities Act, Real Estate Investment, State securities laws
A Colorado grand jury indicted Michael Graham on two counts of securities fraud. A Colorado grand jury indicted Michael Graham on two counts of securities fraud on August 15, 2025. Authorities allege Graham sold fraudulent investments meant to benefit economically...
by Jeff Pederson | Oct 26, 2025 | Alt investment, Colorado Securities Act, Oil and Gas
Colorado investors accuse Ty Haney of Outdoor Voices of securities fraud. On October 14, 2025, Boulder, Colorado investors sued Ty Haney for violations of securities laws in the financing of entrepreneurial project. The lawsuit of Colorado investors alleges that Haney...
by Jeff Pederson | Oct 15, 2025 | Alt investment, Real Estate Investment, State securities laws
Inspired Healthcare DST investors suffered from fraudulent accounting and possibly bad diligence by Emerson Equity. Inspired Healthcare (IHC) Delaware Statutory Trusts (DST) such as Eatonton, Carson Valley and San Marcos, and Emerson Equity Bridge Fund I are...
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