Investigations // Cases // News

Select Home Warranty – TCPA Class Action Filed

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Date13 Feb 2019

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New Day Financial d/b/a Newday USA- Alleged Robocalls

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Date12 Feb 2019

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Century 21 Real Estate – Alleged Unsolicited, Autodialed Calls

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Date12 Feb 2019

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Molson Coors Announces Restatement of Financials – TAP Stock Drops

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Date12 Feb 2019

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$6M+ To Consumers Who Bought Deceptively-Marketed Products

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Date01 Feb 2019

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TCPA Action Against Ultimate Fitness Group, d/b/a Orangetheory Fitness

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Date01 Feb 2019

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Promotional Product-Related Price-Fixing Charges Announced

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Date01 Feb 2019

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Quicken Loans Inc. – Unsolicited Text Messages Alleged

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Date31 Jan 2019

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Quicken Loans Inc. – Alleged Unsolicited SMS/MMS Text Messages

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Date30 Jan 2019

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Navient Solutions – Alleged Unsolicited SMS/MMS Text Messages

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Date30 Jan 2019

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AT&T Teleholdings, Inc. – Alleged Unsolicited Fax Advertisements

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Date30 Jan 2019

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Four Public Companies Charged With Internal Control Failures

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Date29 Jan 2019

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$1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme

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Date29 Jan 2019

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Have You Purchased Dual-Ended Combat Arms™ Earplugs, Version 2 (CAEv2)?

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Date23 Jan 2019

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USAA Federal Savings Bank Settles with CFPB

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Date04 Jan 2019

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JPMorgan to Pay $135+ Million Related to Improper Handling of ADRs

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Date26 Dec 2018

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Unregistered Brokers Who Sold Woodbridge Securities Charged

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Date19 Dec 2018

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Improper Handling of ADRs – BNY Mellon To Pay More Than $54 Million

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Date18 Dec 2018

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Initial Coin Offering Scam Charges Settled

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Date13 Dec 2018

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FY ’18 National Do Not Call Registry Data Book And Mini Site Released

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Date06 Dec 2018

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43,456 Checks Totaling More Than $3.5 Million Returned To Consumers

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Date06 Dec 2018

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MiMedx Group Announces Organizational Realignment Program

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Date06 Dec 2018

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Marriott Data Breach – Personal Information of Up to 500 Million Exposed

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Date05 Dec 2018

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Tenaris S.A. ADR Price Drop & Securities Investigation

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Date30 Nov 2018

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Investor Alert: SEC Warns of Fraudulent Investment Scams

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Date30 Nov 2018

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Money to Consumers Impacted by Office Supply Scam

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Date28 Nov 2018

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Wells Fargo – Alleged Calls to Cell Phones Without Express Consent

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Date20 Nov 2018

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FTC Finds 1-800 Contacts Unlawfully Harmed Competition

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Date19 Nov 2018

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AIG Direct Insurance Services, Inc. – Alleged Unsolicited Calls

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Date14 Nov 2018

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Commerzbank AG To Pay $12 Million For Swap Dealing Violations

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Date09 Nov 2018

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EtherDelta Founder Charged With Operating Unregistered Exchange

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Date08 Nov 2018

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Citibank to Pay More Than $38 Million to Settle Charges

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Date07 Nov 2018

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ITG Inc. Charged With Misleading Dark Pool Subscribers

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Date07 Nov 2018

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Simple Health Plans Collected More Than $100 Million With Deceptive Scheme

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Date06 Nov 2018

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Wells Fargo Bank, N.A. – “Tens of Thousands of Harassing Calls” Alleged

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Date26 Oct 2018

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Lyft, Inc. – Alleged Unsolicited SMS or MMS Text Messages

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Date26 Oct 2018

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Mercedes-Benz Financial Services USA, LLC – Alleged TCPA Violations

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Date22 Oct 2018

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Class Action Filed Against Aaron’s, Inc. – Alleged Unsolicited Calls

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Date22 Oct 2018

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Get-Rich-With-Amazon Scheme Marketer Settles with FTC

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Date11 Oct 2018

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Fraudulent ICO Which Claimed SEC Approval Stopped

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Date11 Oct 2018

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Have You Purchased Epson Printer Cartridges?

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Date08 Oct 2018

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Microcap Fraud Scheme Stopped by SEC

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Date05 Oct 2018

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SEC Actions- Salix, Walgreens, & LendingClub Asset Management

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Date01 Oct 2018

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Musk Settles SEC Fraud Charges; Tesla Charged, But Resolves Law Charge

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Date30 Sep 2018

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Millions Returned to Consumers Harmed by Payday Lending Scheme

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Date28 Sep 2018

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Bitcoin-Funded Securities Dealer, CEO Charged

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Date28 Sep 2018

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Elon Musk Charged with Securities Fraud for Misleading Tweets

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Date28 Sep 2018

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Iowa Introducing Broker, Principals to Pay $11.9 Million in Restitution

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Date28 Sep 2018

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Broker-Dealer Charged With Deficient Cybersecurity Procedures

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Date26 Sep 2018

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Approximately $4 Million Awarded by SEC to Whistleblower

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Date25 Sep 2018

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FTC Sending 22,671 Refund Checks to Consumers

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Date25 Sep 2018

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Subway Franchisee Advertising Fund Trust Text Message Class Action

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Date25 Sep 2018

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FTC Settlements Stop Debt Collection Scheme

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Date21 Sep 2018

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New Law Allows Consumer Credit Freezes and Year-Long Fraud Alerts

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Date21 Sep 2018

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BBSI and Former CFO Charged with Accounting Fraud

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Date20 Sep 2018

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CEO And Former CFO To Pay Millions in Penalties to Settle Charges

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Date19 Sep 2018

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SEC Awards Approximately $1.5 Million to Whistleblower

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Date19 Sep 2018

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$345 Million Ponzi-Like Scheme Shut Down by SEC

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Date19 Sep 2018

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United Technologies Charged With Violating the FCPA

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Date12 Sep 2018

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USA Technologies, Inc. Investigation on Behalf of USAT Investors

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Date11 Sep 2018

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Cannabis Investment Fund and Founder Charged in Fraudulent Scheme

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Date07 Sep 2018

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More Than $54 Million Awarded to SEC Whistleblowers

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Date07 Sep 2018

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Fraudulent Debt Collectors Banned from Debt Collection Business

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Date07 Sep 2018

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Telecommunications Expense Management Company Charged

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Date04 Sep 2018

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SEC Charges Sonofi With FCPA Violations

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Date04 Sep 2018

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Moody’s Charged – Internal Controls Failures & Ratings Symbols Deficiencies

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Date28 Aug 2018

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Transamerica Entities to Pay $97 Million to Investors

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Date27 Aug 2018

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CFTC Wins Trial Against Virtual Currency Fraudster

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Date24 Aug 2018

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Ameriprise Financial Services Charged by SEC

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Date21 Aug 2018

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Former Online Marketing Company Executives Charged

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Date21 Aug 2018

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SEC Charges Technology Fund Adviser in Fraud Scheme

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Date21 Aug 2018

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Unregistered Brokers Who Sold Woodbridge Securities Charged by SEC

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Date20 Aug 2018

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Hologic Stock Drop – Suspension of Marketing of Vitalia TempSure Device

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Date13 Aug 2018

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Maxar Technologies Securities Class Action Lawsuit Investigation

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Date07 Aug 2018

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SEC Issues Investor Bulletin Providing Basic Information About Index Funds

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Date07 Aug 2018

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Keller Williams Realty Inc. Robocalls Class Action Lawsuit

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Date07 Aug 2018

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List of Firms Using Inaccurate Information to Solicit Investors Updated

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Date06 Aug 2018

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Kohl’s Text Messages Subject of TCPA Class Action

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Date06 Aug 2018

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Impinj, Inc. Investor Alert – PI Securities Investigation

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Date06 Aug 2018

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Mizuho Securities Charged for Failure to Safeguard Customer Information

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Date23 Jul 2018

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Deutsche Bank to Pay Approximately $75 Million to Settle Charges

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Date20 Jul 2018

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$30 Million Awarded to Whistleblower By CFTC

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Date12 Jul 2018

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SEC Votes to Propose Amendments to Whistleblower Program Rules

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Date28 Jun 2018

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FIZZ Investor Alert – National Beverage Corp. Stock Drops

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Date27 Jun 2018

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Merrill Lynch Charged with Misleading Customers – $42MM Penalty

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Date19 Jun 2018

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Get-Rich-With-Amazon Scheme Operators Settle With the FTC

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Date19 Jun 2018

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Aaron’s Inc. Prerecorded Messages and Automated Calls Alleged

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Date15 Jun 2018

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Aegean Marine Petroleum Network Stock Drops More Than 57%

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Date05 Jun 2018

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Transworld Systems Debt Collection Robocalls Alleged

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Date04 Jun 2018

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Is Your Broker Selling Investments Approved By the Broker’s Firm?

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Date31 May 2018

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Citibank Debt Collection Calls – TCPA Violations Alleged

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Date29 May 2018

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Rockwell Medical CEO Terminated – RMTI Stock Trading Halted

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Date24 May 2018

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University Retirement Plans – Are You Being Charged Excessive Fees?

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Date18 May 2018

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Equifax Sued Over Inaccurate Public Records Data in Credit Reports

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Date17 May 2018

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Class Action Lawsuit Filed Against Prothena Corporation

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Date17 May 2018

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Class Action Filed Against InnerWorkings; INWK To Restate Financials

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Date11 May 2018

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Symantec Announces Investigation on Concerns of Former Employee

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Date11 May 2018

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Unsolicited Faxes Class Action Filed Against Spreemo & The Hartford

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Date10 May 2018

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Flex Stock Drops More Than 21% – Flex Securities Investigation

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Date08 May 2018

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Knorr-Bremse, Knorr Brake, Wabtec, Faiveley Transport Lawsuit

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Date02 May 2018

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Investor Alert: “SALI” Investor Protection Online Search Tool

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Date02 May 2018

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Credit One Bank Debt Collection Calls

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Date02 May 2018

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Panasonic To Pay $143+ Million to Resolve FCPA, Accounting Violations

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Date01 May 2018

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Liberty Student Loan Forgiveness Prerecorded Voicemail

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Date01 May 2018

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Wells Fargo 401(k) Practices Subject of Labor Department Investigation

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Date26 Apr 2018

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LendingClub’s Alleged Misleading “No Hidden Fees” Claims; Stock Drops

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Date26 Apr 2018

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Prothena Shareholder Alert – PRTA Stock Drops Almost 70%

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Date24 Apr 2018

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Important Things to Know About Higher Education Overtime Pay

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Date17 Apr 2018

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Knorr, Wabtec to End Unlawful Employee “No-Poach” Agreements

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Date13 Apr 2018

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SEC Enforcement Actions; $2.1 Million Whistleblower Award

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Date13 Apr 2018

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Warranty Coverage and the Use of Specified Parts or Services

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Date11 Apr 2018

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Multimillion Dollar Ponzi Scheme Targeting Seniors; SEC Charges

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Date09 Apr 2018

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Senior Investors Beware of Ponzi Schemes; Ponzi Warning Signs

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Date09 Apr 2018

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Whistleblower Awarded; Information First Reported to Another Agency

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Date06 Apr 2018

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Longfin – SEC’s Emergency Freeze of $27 Million in Stock Sales

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Date06 Apr 2018

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$12 Million to Harmed Investors – Investment Advisers Settle Charges

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Date06 Apr 2018

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Panera Bread Leaked Customer Data for Eight Months on Its Website

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Date04 Apr 2018

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“Thank you for calling American Express . . .” Alleged Unauthorized Calls

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Date04 Apr 2018

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Initial Coin Offering Scheme That Raised $32MM Stopped by SEC

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Date03 Apr 2018

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Important Things to Know About The SEC’s Whistleblower Program

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Date03 Apr 2018

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Fintech Company Founder Charged with Scheme to Defraud Investors

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Date02 Apr 2018

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Prominent Pastor, Financial Planner Charged by SEC

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Date02 Apr 2018

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Data Breach – Saks Fifth Ave., Saks OFF 5th, Lord & Taylor

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Date01 Apr 2018

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Under Armour Data Breach Impacts 150 Million MyFitnessPal App Users

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Date29 Mar 2018

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Barclays Agrees to Resolve Fraud Claims and Pay $2 Billion in Penalties

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Date29 Mar 2018

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Cross River Bank & Freedom Financial Asset Management

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Date29 Mar 2018

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Gold’s Gym Text Messages Lawsuit

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Date28 Mar 2018

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Gold’s Gym – Alleged Unsolicited Text Messages Class Action

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Date28 Mar 2018

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Maxwell Technologies Charged with Prematurely Recognizing Revenue

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Date27 Mar 2018

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Recidivist Telemarketer Charged for Millions of Illegal Calls

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Date26 Mar 2018

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Deceptive Business Opportunity Scheme Stopped

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Date24 Mar 2018

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Tip Top Capital Inc. – Alleged TCPA Violations

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Date23 Mar 2018

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Future Now Energy, LLC – Alleged Unauthorized Automated Calls

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Date23 Mar 2018

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A10 Networks Delays Filing Its Form 10-K; Class Action Filed

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Date23 Mar 2018

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Operators of Scheme to Defraud Retail Investors Out of Millions Charged

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Date23 Mar 2018

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Abusive Debt Collectors Banned from Debt Collection Business

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Date22 Mar 2018

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Orbitz Data Breach (880,000 Payment Cards Affected)

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Date21 Mar 2018

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FTC Mailing Checks to Consumers (36,830 Checks Totaling $10,158,601)

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Date20 Mar 2018

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Promoters of Deceptive Cryptocurrency Schemes Shut Down

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Date20 Mar 2018

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Broker-Dealer Illegally Placed More Than $25 Million of Securities at Risk

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Date19 Mar 2018

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Over 117 Million Illegal Telemarketing Calls to Consumers

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Date19 Mar 2018

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Investors of VelocityShares™ Daily Inverse VIX Short-Term ETNs (XIV)

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Date16 Mar 2018

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VelocityShares™ Daily Inverse VIX Short-Term ETNs (“XIV”) Alert

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Date15 Mar 2018

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CEO Elizabeth Holmes and Ramesh Balwani Charged with Fraud

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Date15 Mar 2018

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Cboe Volatility Index® (VIX®) – VIX Futures & Options Contracts Traders

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Date13 Mar 2018

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Here’s What the SEC Says About Online Digital Trading Platforms

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Date13 Mar 2018

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1-800-Flowers Call Center Workers – Class and Collective Wages Lawsuit

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Date13 Mar 2018

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America’s JobLink Alliance Data Breach Investigation (10 States Affected)

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Date12 Mar 2018

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Applebee’s Payment Card Malware Attack (166 Applebee’s in 15 States)

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Date10 Mar 2018

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Ace Industrial Supply Telemarketing Calls – TCPA Violations Alleged

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Date09 Mar 2018

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BioScrip Stock Price Drop (BIOS Closes Down 15.47% on 3/8/2018)

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Date08 Mar 2018

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Merrill’s Gatekeeping Failures in the Unregistered Sales of Securities

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Date08 Mar 2018

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Debt Collection Calls Lawsuit – Navient & Pioneer Credit Recovery

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Date08 Mar 2018

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The Bancorp Bank Settles with FDIC for Unfair and Deceptive Practices

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Date07 Mar 2018

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Preliminary Injunction Issued Regarding Virtual Currency Scheme

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Date07 Mar 2018

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Grupo Televisa ADR Shareholder Alert: Class Action Filed

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Date06 Mar 2018

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Build A Dream Telemarketing Calls Class Action Lawsuit

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Date05 Mar 2018

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WageWorks Announces Delayed Annual Report; WAGE Stock Drops

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Date05 Mar 2018

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PayPal Settles FTC Charges Over Venmo’s Peer-to-Peer Practices

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Date04 Mar 2018

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Manipulative Trading in U.S. Microcap Stocks – Charges Announced

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Date04 Mar 2018

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University of Phoenix Telemarketing Calls Lawsuit

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Date03 Mar 2018

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Ubiquiti Networks Shareholder Alert – UBNT Class Action Filed

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Date02 Mar 2018

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SEC Charges Filed to Stop Recidivist’s Fraud Scheme

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Date02 Mar 2018

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Georgetown University – Alleged Breach of Fiduciary Duties

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Date01 Mar 2018

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Ameriprise Financial Services, Inc. Settles SEC Charges

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Date28 Feb 2018

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Loandepot.com Telemarketing Calls – TCPA Class Action Filed

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Date28 Feb 2018

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Sorrento Therapeutics Shareholder Alert – SRNE Stock Drops

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Date27 Feb 2018

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National Oilwell Varco’s Alleged Failure to Pay Proper Overtime

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Date26 Feb 2018

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International Paper Company Production Workers Overtime Lawsuit

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Date26 Feb 2018

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Franchisee’s Alleged Failure to Pay Panera Bread Assistant Managers OT

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Date26 Feb 2018

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CFTC Issues First “Pump-and-Dump” Virtual Currency Customer Advisory

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Date25 Feb 2018

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Alleged Unsolicited Robocalls By United Card Solutions

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Date25 Feb 2018

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Fortegra Financial, Omega Auto Care – TCPA Robocall Class Action

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Date24 Feb 2018

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Seven Stars Cloud Group, Inc. Shareholder Alert – SSC Stock Plummets

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Date23 Feb 2018

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Three Cryptocurrency-Related Companies – SEC Suspends Trading

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Date23 Feb 2018

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Obalon Therapeutics Shareholder Alert – OBLN Class Action Filed

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Date23 Feb 2018

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Polaris Industries Telemarketing Robocall Class Action

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Date23 Feb 2018

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Former Bitcoin-Denominated BitFunder Exchange & Operator Charged

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Date22 Feb 2018

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Kraton Corporation Shareholder Alert – KRA Stock Price Falls Sharply

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Date22 Feb 2018

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MiMedx Group, Inc. Shareholder Alert – MDXG Stock Drops Significantly

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Date20 Feb 2018

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Allied Interstate’s Alleged Automated Debt Collection Calls

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Date20 Feb 2018

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Money Returned to Consumers in Alleged Payday Loan Scheme

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Date19 Feb 2018

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LJM Preservation and Growth Fund I – LJMIX Shuts Its Doors

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Date19 Feb 2018

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Investor Alert: Investments Purchased or Funded By Credit Cards

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Date15 Feb 2018

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Money Being Returned to Consumers Harmed by Debt Relief Scheme

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Date14 Feb 2018

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NQ Mobile Shareholder Alert – Class Action Filed Against NQ Mobile Inc.

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Date13 Feb 2018

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Henry Schein Shareholder Alert – HSIC Stock Price Down Significantly

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Date13 Feb 2018

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Patterson Companies Shareholder Alert – PDCO Stock Down Significantly

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Date13 Feb 2018

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Dental Products Distributors Sued by FTC for Alleged Discount Conspiracy

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Date13 Feb 2018

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Bristol-Myers Squibb Shareholder Alert

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Date13 Feb 2018

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Deutsche Bank Settles SEC Charges – Misled Customers Will Be Repaid

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Date12 Feb 2018

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“Junk Fax” Class Action Filed Against Dry Cast Holdings d/b/a DryCast

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Date11 Feb 2018

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Credit Suisse Securities Financial Advisers Class Action Lawsuit

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Date11 Feb 2018

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Decatur County General Hospital Hit with Cryptocurrency Malware Attack

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Date10 Feb 2018

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Super Micro Shareholder Alert – Class Action Filed Against SMCI

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Date09 Feb 2018

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Ballard Power Shareholder Alert – Class Action Filed Against BLDP

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Date09 Feb 2018

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Quantum Shareholder Alert – SEC Investigating; QTM Stock Price Drops

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Date08 Feb 2018

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Business Coaching Scheme Temporarily Stopped By Court Order

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Date08 Feb 2018

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Credit Suisse Group AG’s VIX Short-Term ETN (XIV) Plummets

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Date08 Feb 2018

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FTC Charges Student Loan Debt Relief Operation

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Date07 Feb 2018

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