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
TIAA sues ex-advisor for allegedly chasing clients from a $400M book
REGULATION, LEGAL & COMPLIANCE MAY 04, 2026
TIAA sues ex-advisor for allegedly chasing clients from a $400M book

He told TIAA he wasn't soliciting clients. Then three of them called the firm.

Investors sue Apollo, CEO Rowan over alleged Epstein cover-up
REGULATION, LEGAL & COMPLIANCE MAY 01, 2026
Investors sue Apollo, CEO Rowan over alleged Epstein cover-up

Suit claims Apollo's "no business with Epstein" line collapses against newly released DOJ files

Stockholder sues Blue Owl adviser, alleges $414M in excessive fees
REGULATION, LEGAL & COMPLIANCE APR 30, 2026
Stockholder sues Blue Owl adviser, alleges $414M in excessive fees

Stockholder claims the BDC's adviser pumped up private credit marks to drive up its take

Ex-PM sues Franklin Templeton, says cat bond fund's "rules-based" process was rigged
REGULATION, LEGAL & COMPLIANCE APR 28, 2026
Ex-PM sues Franklin Templeton, says cat bond fund's "rules-based" process was rigged

A former portfolio manager says Franklin Templeton's "rules-based" cat bond fund was anything but — and calling it out cost him his job.

SEC sues NY private equity adviser Lucas over alleged $8M investor cash grab
REGULATION, LEGAL & COMPLIANCE APR 28, 2026
SEC sues NY private equity adviser Lucas over alleged $8M investor cash grab

Wedding bills, alimony and a newspaper allegedly funded by investor cash — and that's just the start.

Black banker accuses JPMorgan Chase of bias, retaliation, forced resignation
WIREHOUSES APR 27, 2026
Black banker accuses JPMorgan Chase of bias, retaliation, forced resignation

He left Bank of America for a JPMorgan role. Then, he says, HR stopped listening

Florida fund manager hits WCEP with fraud suit over SpaceX '0/0' pitch
REGULATION, LEGAL & COMPLIANCE APR 23, 2026
Florida fund manager hits WCEP with fraud suit over SpaceX '0/0' pitch

A fund manager claims a pre-IPO sponsor hid markups and a 17.5% carry behind a "0/0" SpaceX pitch.

Investors sue U.S. Immigration Fund over $89.6M loss on stalled NoMad tower
REGULATION, LEGAL & COMPLIANCE APR 22, 2026
Investors sue U.S. Immigration Fund over $89.6M loss on stalled NoMad tower

Roughly 160 foreign investors say the sponsor ignored red flags while a Manhattan tower went bust.

Creditors accuse SEC-installed fiduciaries of steering gold mine cash past $7M debt
REGULATION, LEGAL & COMPLIANCE APR 22, 2026
Creditors accuse SEC-installed fiduciaries of steering gold mine cash past $7M debt

An Idaho couple claims SEC-installed fiduciaries routed mine sale cash away from their $7M judgment.

SEC sues California real estate fund manager over alleged $15M Ponzi-like scheme
REGULATION, LEGAL & COMPLIANCE APR 21, 2026
SEC sues California real estate fund manager over alleged $15M Ponzi-like scheme

Regulators say the fund manager allegedly paid old investors with new money — and doctored the books to cover the gap.