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July 14, 2025

John Francis Schlagheck: Five Complaints in 2024 and a FINRA Suspension

John Francis Schlagheck has been linked to multiple allegations of improper conduct, negligence, and unsuitable investment recommendations—including those involving GWG...
July 12, 2025

David Lerner Associates and Energy Investments

David Lerner Associates has been under regulatory scrutiny for its handling of energy investments—especially regarding unsuitable recommendations and improper supervision....
July 10, 2025

Roger Roemmich Facing Over $16M in Allegations

Since January 2025, Roger Roemmich has had 3 customer disputes added to his record, totaling over $16 million in damages...
July 9, 2025

Cynthia Giovacchino: 12 Investor Complaints in 4 Years

Cynthia Giovacchino, currently registered with Osaic Institutions, Inc. in Seymour, Connecticut, has been the subject of multiple customer disputes involving...
July 8, 2025

Summit Brokerage Services, Inc.

Summit Brokerage Services has faced serious allegations including unauthorized trading, churning, and breach of fiduciary duty. These complaints reflect deeper...
July 7, 2025

B. Riley Baby Bonds: Risks, Losses, and Legal Options

Investors who purchased B. Riley baby bonds have experienced steep declines in market value—ranging from 40% to 75%—and are now...
July 6, 2025

T. Sloan Thompson: 12 Complaints in 6 Months

Since 2022, former Truist Investment Services broker T. Sloan Thompson has been accused of steering clients—many of them risk-averse retirees—into...
July 4, 2025

Grant Cardone Lawsuit Revived After 15% Returns Promised

A recent decision from the Ninth Circuit Court of Appeals has revived a class-action lawsuit against Grant Cardone and his...
July 3, 2025

Jack Thacker Of Realta Equities Unsuitable Investment Allegations

Jack Thacker's unsuitable investment recommendations are at the center of 17 customer disputes from 2024 alone that accuse the former...
June 25, 2025

United Planners Faces More Legal Challenges Over Advisor Misconduct

United Planners Financial Services is facing growing legal and regulatory challenges after multiple findings of advisor misconduct, including arbitration awards...
June 24, 2025

B. Riley Financial Under Investigation by FINRA for Potential Securities Violations

B. Riley Financial, Inc. is currently under investigation by the Financial Industry Regulatory Authority (FINRA) for possible violations of securities...
June 21, 2025

SIM Swap Case Against AT&T Revived by Appeals Court

SIM swap fraud is becoming an increasingly common threat, and the recent appellate court decision in Terpin v. AT&T is...

SIM Swap Case Against AT&T Revived by Appeals Court Securities Blogs:

Stifel Nicolaus Faces $2.3 Million Fine Over Exchange-Traded Products Supervision Failures

Exchange-traded products (ETPs) are under the spotlight once again as Stifel, Nicolaus & Co. has been fined $2.3 million for...

What Is Cherry Picking?

Cherry-picking is a deceitful practice in which investment advisers or brokers allocate profitable trades to themselves or favored clients and...

William Shane Garrow Pleads Guilty to $4.2 Million Scheme

The case of William Shane Garrow—a former Senior Vice President at the Bank of Oklahoma—demonstrates the severe consequences when financial...

Robinhood Fined $45 Million by the SEC for Compliance and Cybersecurity Failures

Robinhood has been fined $45 million by the Securities and Exchange Commission (SEC), drawing attention to the increasing regulatory scrutiny...

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