Insights
February 26, 2026
It’s a painful reality that seniors are often targeted by financial predators who see a lifetime of savings as an opportunity. This type of financial abuse is devastating, not just for the victim but ...
July 4, 2025
Investment fraud isn’t a problem that only happens on Wall Street; it affects people right here in our Memphis community. It targets retirees, families saving for college, and anyone who has worked ha...
June 20, 2025
The security of your retirement savings depends on more than just smart investment choices; it also relies on the integrity of the institutions you trust with your money. When that integrity is questi...
August 1, 2024
In a significant legal development, a federal judge in Montgomery, Alabama, has sentenced Nicholas Houston Allen to 76 months in prison for his involvement in a fraudulent scheme targeting elderly vic...
August 19, 2023
The Securities and Exchange Commission (SEC) has filed charges against Joseph Michael “Mike” Todd and his companies, Todd Financial Services, LLC (TFS), and TFS Insurance Services LLC (TFS...
August 11, 2023
Retirees and other retail investors should exercise caution when considering investments in volatility-linked products. The Cboe Volatility Index (VIX), often referred to as the “fear index,R...
July 25, 2022
Ronald Molo, a former stockbroker with Edward Jones, has been barred by Financial Industry Regulatory Authority (“FINRA”) for failing to respond to a request for information regarding a customer’...
February 21, 2022
The SEC has filed a complaint against Safeguard Metals LLC and its owner, Jeffrey Santulan, for allegedly misleading hundreds of elderly investors and engaging in a multimillion-dollar scheme. Safegua...
January 13, 2022
Jeffrey Dampf (CRD #5676205) was barred from association with FINRA in all capacities on October 1, 2021. FINRA issued an Acceptance, Waiver, and Consent for Dampf after he refused to provide on-the-r...
September 1, 2021
The SEC has filed an emergency action to stop an alleged decade-long Ponzi scheme perpetrated by John Woods. The report claims that Woods raised more than $110 million from over 400 investors . The in...
August 18, 2021
The SEC has obtained a court order to stop Santa Fe, New Mexico financial advisor Martin Adrian Ruiz’s alleged ongoing offering fraud. According to the SEC complaint , Ruiz induced at least 56 investo...
June 4, 2021
Former LPL Financial representative Matthew Clason waived his right to be indicted and pleaded guilty to one count of wire fraud related to his misappropriation of more than $600,000 from an elderly i...
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