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FAQs Securities Blogs:

Nanban Ventures Accused of $130M Ponzi Scheme Targeting Indian Americans

Investors have raised serious concerns about Nanban Ventures, a Texas-based group of companies accused by the U.S. Securities and Exchange...

Religious Affinity Fraud: A Guide to Protecting Your Faith and Finances

Affinity fraud is one of the most damaging forms of financial deception — and religious communities are among its most...

SEC Orders Vanguard and Empower to Pay $25 Million Over Misleading Disclosures

On August 29, 2025, the Securities and Exchange Commission (SEC) announced enforcement actions against Vanguard Advisers and Empower Advisory Group...

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...

We’ll Get Started With These 3 Simple Steps

  1. Connect with a securities fraud attorney from our legal team for a strategic analysis of your claim at no charge. It’s easy to connect with us with a web form, online chat, or phone call.

  2. If you have a strong claim to recover your investment losses, we will send you a client agreement to review and sign hassle-free on your phone, tablet, or computer. All cases are handled on a contingency fee basis.

  3. Once you hire us, we will file your case in a timely manner and keep you informed every step of the way. You choose how to communicate with your securities fraud lawyer: telephone calls, emails, video meetings, or text messages.

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    Industry News & Information

    November 16, 2025

    FINRA Investigates Spartan Capital Leader John Dennis Lowry for Compliance Failures

    The Financial Industry Regulatory Authority (FINRA) has filed a complaint against John Dennis Lowry, CEO of Spartan Capital Securities, LLC,...
    November 15, 2025

    Spartan Capital’s Kim Monchik Faces Wave of Complaints

    Concerns about broker Kim Monchik of Spartan Capital Securities, LLC have continued to grow as multiple investor complaints and regulatory...
    November 14, 2025

    Eric Dupre, Formerly of Ameriprise, Barred by FINRA for Borrowing $2.2M From Clients

    Former Ameriprise Financial broker Eric A. Dupre has been barred by the Financial Industry Regulatory Authority (FINRA) after allegedly borrowing...
    November 13, 2025

    Trial Begins for Ohio Pension Leaders Accused in $65 Billion STRS Corruption Scheme

    Two former leaders of Ohio’s State Teachers Retirement System (STRS) appeared in court this week as a high-profile corruption case...
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