FINRA Enforcement Action | May 30, 2025 | Kansas City & Joplin, Missouri Your Broker Hid Its Dirty Past From You. For Four Years. TL;DR General Securities Corp., a broker-dealer in Kansas City and Joplin, Missouri, hid its own disciplinary…
TL;DR From May 2016 to October 2022, MDB Capital ran a scheme where the same firm that incubated startup companies, took them public, and collected stock, cash, and warrants also pushed those same stocks to retail and institutional investors. That…
Financial Crimes / Market Integrity 36.6 Billion Lies How Goldman Sachs Fed Corrupted Data to the One System Designed to Catch Financial Fraud — for Three Years Straight EvilCorporations.com Investigative Desk | Source: FINRA Enforcement Action AWC No. 2022074103601 TL;DR…
Data Security Failure Eight Years. 1,624 Accounts. $150,000 Slap. EvilCorporations.com • AWC No. 2021073472601 • 7 min read TL;DR For eight years (January 2014 through March 2022), Wells Fargo failed to cut off data access for former employees when they…
Crowdfunding Fraud ▸ Conflict of Interest ▸ FINRA Enforcement The Insider’s Hive Honeycomb Portal LLC quietly ran two crowdfunding raises with a conflicted, legally prohibited insider pulling the strings from the shadows — and then destroyed the records that would…
Financial Misconduct Investigation 16,800 Trades. Zero Accountability. One Tiny Fine. Investigation Period: August 2021 – August 2023 | Settled: May 8, 2025 TL;DR Siebert Williams Shank & Co., LLC misreported or entirely failed to report 16,800 municipal securities trades to…
Investigative Report • Retail Investor Fraud • FINRA Enforcement WeBull Paid 400 Influencers to Feed Lies to 5.9 Million People The trading app didn’t just bend the rules. It built an entire shadow advertising machine, kept no records, supervised nothing,…
TL;DR Two Wall Street broker-dealers, TradeUP Securities and US Tiger Securities, ran anti-money laundering programs so broken they couldn’t catch manipulation happening directly inside their own accounts. Both firms used an internal messaging platform with an automatic self-deletion feature, wiping…
A Decade of Deception TL;DR The Facts: From 2011 to 2022, online brokerage firm Interactive Brokers LLC systematically failed to report critical information to the Financial Industry Regulatory Authority (FINRA), the watchdog meant to police Wall Street. The Misconduct: The…
Financial Fraud • Broker-Dealer Misconduct • Retail Investor Harm How Regulus Financial Deceived Retail Investors For 3 Years Source: FINRA Letter of Acceptance, Waiver, and Consent No. 2023077077001 • Published by EvilCorporations.com TL;DR Regulus Financial Group, a Michigan-based broker-dealer serving…