by Broker Fraud | Jun 5, 2026 | Securities Fraud, Securities Litigation
In April the U.S. Securities and Exchange Commission (SEC) released enforcement results for the fiscal year that ended on September 30, 2025. During the SEC’s fiscal year 2025 the Commission reported receiving a record number of tips, complaints and referrals,...
by Broker Fraud | May 8, 2026 | FINRA Arbitration, Securities Litigation
Claimant Wins FINRA Arbitration Against Stifel, Nicolaus & Co. and its Advisor based in Southfield, Michigan. FINRA Arbitration No: 24-00627 The Financial Industry Regulatory Authority (FINRA) regulates brokerage firms doing business with United States investors....
by Broker Fraud | Apr 3, 2026 | Investment Fraud, Securities Litigation
Anyone who has had a bad experience purchasing a product that was advertised through an ad online is aware of the potential for becoming a victim of a retail cyber scam. Gen Digital, Inc., a multinational cybersecurity and digital technology company provides...
by Broker Fraud | Mar 6, 2026 | Securities Fraud, Securities Litigation
Founded in 1919, the North American Securities Administrators Association (NASAA) is the oldest international investor protection organization. NASAA’s primary goal is to advocate and act for the protection of investors, especially those who lack the expertise,...
by Broker Fraud | Jan 9, 2026 | Investment Fraud, Securities Litigation
Investment fraud in 2025 was on track to continue the steady year-to-year increase that has existed since 2020. Americans lost $3.5 billion in investment fraud and scams in just the first half of 2025 and that figure is projected to rise above the $5.8 billion in...
by Broker Fraud | Dec 11, 2025 | Securities Fraud, Securities Litigation
The U.S. Securities and Exchange Commission’s (SEC) was founded in 1934 during the Great Depression. The SEC’s mission is to “protect investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation” with the end...
