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
SEC charges ex-venture capital pro with siphoning $10.6M for strip clubs
REGULATION, LEGAL & COMPLIANCE JAN 16, 2026
SEC charges ex-venture capital pro with siphoning $10.6M for strip clubs

The alleged spending spree included $85K at Texas strip clubs over just two days

Shareholder sues B. Riley execs for allegedly hiding partner's $294M fraud ties
REGULATION, LEGAL & COMPLIANCE JAN 15, 2026
Shareholder sues B. Riley execs for allegedly hiding partner's $294M fraud ties

The $2.8B buyout unraveled after DOJ documents implicated their longtime business partner.

Investors accuse CRE fund of fraud, claim it favored Shinhan Bank in redemptions
REGULATION, LEGAL & COMPLIANCE JAN 14, 2026
Investors accuse CRE fund of fraud, claim it favored Shinhan Bank in redemptions

The fund allegedly let a large investor exit while stalling smaller investors' redemptions.

Investors accuse California lender of $8.5M document fraud scheme
REGULATION, LEGAL & COMPLIANCE JAN 13, 2026
Investors accuse California lender of $8.5M document fraud scheme

Plaintiffs allege a years-long scheme left them without promised security.

SEC accuses investment banker of feeding $41M healthcare insider trading ring
REGULATION, LEGAL & COMPLIANCE JAN 08, 2026
SEC accuses investment banker of feeding $41M healthcare insider trading ring

The alleged scheme involved fake press releases and doctors impersonated via spoofed emails.

Florida retirees accuse RIA of funneling savings into single penny stock
REGULATION, LEGAL & COMPLIANCE JAN 07, 2026
Florida retirees accuse RIA of funneling savings into single penny stock

Lawsuit alleges some accounts hit up to 100% concentration in a volatile microcap.

Banker says JP Morgan fired her after reporting boss to HR
WIREHOUSES DEC 12, 2025
Banker says JP Morgan fired her after reporting boss to HR

She says she filed her complaint on July 16 and was terminated two weeks later

Citadel and Virtu face claims they manipulated Genius Group stock prices
REGULATION, LEGAL & COMPLIANCE NOV 27, 2025
Citadel and Virtu face claims they manipulated Genius Group stock prices

Citadel and Virtu are accused of using rapid spoofing tactics to drive down Genius Group stock prices and profit from short trades.

Investors Claim $550K Loss in Carbonatik Commodities Fraud Scheme
REGULATION, LEGAL & COMPLIANCE NOV 26, 2025
Investors Claim $550K Loss in Carbonatik Commodities Fraud Scheme

Mineral venture promised mining fortunes and 120% returns. Investors now allege nothing was real.