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 151 results
SEC accuses S2A Modular founders of alleged $65 million investor fraud
REGULATION, LEGAL & COMPLIANCE JUL 24, 2026
SEC accuses S2A Modular founders of alleged $65 million investor fraud

Investors chose which factory to fund - the SEC says the money went elsewhere.

Pension funds sue Primoris, allege it hid solar cost overruns from investors
REGULATION, LEGAL & COMPLIANCE JUL 22, 2026
Pension funds sue Primoris, allege it hid solar cost overruns from investors

A slow drip of disclosures, an executive exit, and a stock that fell hard before the suit landed

Investors accuse First National Realty Partners of fraud in $9.5m suit
REGULATION, LEGAL & COMPLIANCE JUL 20, 2026
Investors accuse First National Realty Partners of fraud in $9.5m suit

The complaint points to a $2 billion firm, unlicensed sellers, and suspended distributions.

St. Louis pension fund sues FS/KKR advisor over alleged excessive fees
REGULATION, LEGAL & COMPLIANCE JUL 16, 2026
St. Louis pension fund sues FS/KKR advisor over alleged excessive fees

The advisor both prices FSK's private loans and gets paid on those prices, the suit claims

Fund manager sues Kandeo, alleges $100 million FinSocial loss
REGULATION, LEGAL & COMPLIANCE JUL 10, 2026
Fund manager sues Kandeo, alleges $100 million FinSocial loss

The $36 million buy allegedly hid inflated books and a $50 million diversion.

Trader used firm ties to freeze $3.6 million, investors allege
REGULATION, LEGAL & COMPLIANCE JUL 09, 2026
Trader used firm ties to freeze $3.6 million, investors allege

Clients say he copied the boss on his emails - and now they can't touch their cash.

CFTC alleges North Carolina fund manager faked profits, lost $8.6 million
REGULATION, LEGAL & COMPLIANCE JUL 09, 2026
CFTC alleges North Carolina fund manager faked profits, lost $8.6 million

He wired millions to his own accounts and told investors the fund was winning.

Investor accuses Canaras, U.S. Bank of hiding $50 million CLO loss
REGULATION, LEGAL & COMPLIANCE JUL 06, 2026
Investor accuses Canaras, U.S. Bank of hiding $50 million CLO loss

A trustee says it has no record of the investor now suing it for $50 million

Texas man says SEC and fund could make him pay twice
REGULATION, LEGAL & COMPLIANCE JUL 03, 2026
Texas man says SEC and fund could make him pay twice

A $141M judgment and a federal asset freeze collide over one shrinking pool

Investors allege Miami operator took over $1.5 million in EB-5 scheme
REGULATION, LEGAL & COMPLIANCE JUN 26, 2026
Investors allege Miami operator took over $1.5 million in EB-5 scheme

One 2017 form, no broker license, and a $42 million gap they say surfaced on a webinar.