Tez Romero

InvestmentNews

Mary Tez Romero-Maquipotin

Senior Legal Researcher

3 years experience11,797 Total views on InvestmentNews in 2025

Mary's specialty topics

Legal Cases Regulation Compliance

Tez Romero is a Senior Legal Researcher at Key Media. Since joining the company in 2023, she has covered legal and regulatory developments across a range of industries and jurisdictions. For InvestmentNews, she reports on litigation, regulatory enforcement, compliance matters, and other legal developments affecting financial advisors, RIAs, and wealth management firms.

Her work focuses on helping industry professionals understand the legal and regulatory issues shaping the wealth management landscape.

How I think about writing for this industry…

“Covering litigation and regulation has shown me how quickly the wealth management industry can change. Court cases and regulatory actions often reveal the pressures, expectations, and emerging issues shaping the profession, and I enjoy helping readers make sense of those developments.”

Also published by

Insurance Business · Mortgage Professional · Human Resources Director

Featured content from Mary

Investors sue Oracle, allege executives dumped $1.87B amid AI hype SEC accuses 777 Partners of deceiving investors in $237 million scheme Investors sue Babcock & Wilcox over allegedly inflated $2.4B AI deal

Previous experience

  • Key Media — Legal Researcher

Education

  • Juris Doctor, Holy Name University
  • B.S. in Business Administration Major in Marketing Management, Holy Name University

Read the latest stories by Mary

Tez Romero
Displaying 109 results
Investor says pre-IPO fund hid markups on SpaceX, Stripe stakes
REGULATION, LEGAL & COMPLIANCE SEP 03, 2026
Investor says pre-IPO fund hid markups on SpaceX, Stripe stakes

He says the account portal went dark just as he tried to check what he owned.

ADMA stockholder suit alleges channel-stuffing and a hidden distributor deal
REGULATION, LEGAL & COMPLIANCE SEP 03, 2026
ADMA stockholder suit alleges channel-stuffing and a hidden distributor deal

Six insiders sold more than $30 million in stock before shares fell about 45%.

SEC alleges California fund managers ran $80 million 'Ponzi-like' scheme
REGULATION, LEGAL & COMPLIANCE SEP 02, 2026
SEC alleges California fund managers ran $80 million 'Ponzi-like' scheme

They settled the same day the SEC sued - but the penalty is still unset.

Diamonds that never existed: SEC says Lugano co-founder booked fake sales
REGULATION, LEGAL & COMPLIANCE SEP 01, 2026
Diamonds that never existed: SEC says Lugano co-founder booked fake sales

The SEC says the payouts came from later investors, and the numbers never added up

SEC alleges barred planner steered clients into tax-lien fraud
REGULATION, LEGAL & COMPLIANCE SEP 01, 2026
SEC alleges barred planner steered clients into tax-lien fraud

The SEC says he doubted the tax liens were real - and kept selling them to clients

SEC accuses Tricolor executives of hiding $800 million collateral hole
REGULATION, LEGAL & COMPLIANCE AUG 21, 2026
SEC accuses Tricolor executives of hiding $800 million collateral hole

How a subprime lender’s car-loan bonds allegedly unraveled before bankruptcy.

SEC accuses crypto firm founder of running $425 million Ponzi scheme
REGULATION, LEGAL & COMPLIANCE AUG 13, 2026
SEC accuses crypto firm founder of running $425 million Ponzi scheme

It promised guaranteed principal and 10% monthly returns. The SEC says it invested nothing.

SEC accuses crowdfunding firm Netcapital of inflating revenue by 345 percent
REGULATION, LEGAL & COMPLIANCE AUG 11, 2026
SEC accuses crowdfunding firm Netcapital of inflating revenue by 345 percent

The startups paying millions in consulting fees were secretly controlled by one insider, the SEC alleges.

SEC sues Adit Ventures advisor over alleged pre-IPO fund fraud
REGULATION, LEGAL & COMPLIANCE AUG 11, 2026
SEC sues Adit Ventures advisor over alleged pre-IPO fund fraud

Klarna and SpaceX stakes sit at the center of the SEC's fraud claims.

Fund manager accuses Jefferies, Goldman of seizing capital and strategies
REGULATION, LEGAL & COMPLIANCE AUG 06, 2026
Fund manager accuses Jefferies, Goldman of seizing capital and strategies

A trade-secret claim topping a billion dollars anchors the fight