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Merrill Lynch Charged by SEC for Failing to Supervise RMBS Traders

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Bernie Sanders Weighs in on President Trump’s Relationships with World Leaders

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Binary Options Investment Scheme Defrauds Investors Out of Millions

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FTC Slams Operators Responsible for Making Billions of Illegal Robocalls

USA Herald

Former Hip-Hop DJ Singing The Blues in Federal Prison for Copyright Infringement

Student Loan Debt Relief Scheme Settles Charges with Federal Trade Commission
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Investigates June 5, 2018

Investment Banker and International Insider Trading Scheme

Trading Scheme Greed Run Rampant The Securities and Exchange Commission charges an employee of a prominent investment bank. The charges are a…

By Peter Moreno

Investigates June 1, 2018

Thirteen Private Fund Advisers Penalized by SEC for Recurring Filing Failures

Investment Advisers and Recurring Filing Failures The Securities and Exchange Commission announces settlements with more than a dozen registered investment…

By Peter Moreno

Investigates June 1, 2018

Investment Advisers’ Failure to Disclose Conflicts of Interest Mislead Retail Clients

Breach of Fiduciary Responsibility and Conflicts of Interest The Securities and Exchange Commission publicizes the transgressions of a New York-based…

By Peter Moreno

Investigates June 1, 2018

Mischievous Debt Collectors Settle FTC Charges for Deceiving Consumers with Fake Debt Collection

Debt Collection Gone Wild A North Carolina debt collection operation, Lombardo, Daniels & Moss, and its principals, Dion Barron and…

By Peter Moreno

Financial Investigations May 29, 2018

Securities Fraud and Non-Existing Contracts In Foreign Countries

CEO Stung For Securities Fraud The chief executive officer of RVPlus Inc., a publicly traded microcap company, receives a conviction at trial for orchestrating a…

By – Peter Moreno

Financial Investigations May 29, 2018

Registered Investment Adviser and $131 Million Market Manipulation Scheme

Market Manipulation of Epic Proportion Louis Petrossi, a former investment adviser, sells naïve investors worthless stock through a complex market manipulation scheme. In doing so,…

By – Peter Moreno

Financial Investigations May 26, 2018

U.S. Department of Justice Maintains a Keen Eye on Cryptocurrency Price Manipulation

Cryptocurrency Price Manipulation Adding to the already controversial digital assets, purveyors and traders of cryptocurrencies find themselves in the spotlight. This time, however, the limelight…

By – Peter Moreno

Financial Investigations May 25, 2018

FTC Stops Deceptive Robocalls Targeting Small Business Owners

Fraudulent Deceptive Robocalls The Federal Trade Commission charges a Florida-based operation for deceptive robocalls targeting small business owners. First, the company falsely claims to represent…

By – Peter Moreno

Financial Investigations May 25, 2018

Investment Adviser Rips Off Millions Of Dollars From Clients

Investment Adviser Fraud A former broker and investment adviser steals more than $2.1 million from two clients in order to pay for personal expenses. Gary Basralian,…

By – Peter Moreno

Financial Investigations May 25, 2018

Securities Attorney Plus Market Manipulation Scheme Equals Go To Jail

Securities Attorney and Market Manipulation A California securities attorney finds himself in hot water over his role in schemes to manipulate the stock of two…

By – Peter Moreno

Investigates November 10, 2023

Grok: Science Fiction becomes Science-Fact with Elon Musk’s AI Chatbot Revolution

In a groundbreaking move that blurs the lines between science fiction and science fact, Elon Musk has unveiled his latest creation. Grok isn’t another run-of-the-mill chatbot. Described on its website…

By – Jackie Allen