Tez Romero

Tez Romero is a legal affairs writer at InvestmentNews, covering litigation, regulatory enforcement, and compliance matters that directly affect financial advisors, wealth managers, and investment firms across the United States. Her reporting spans SEC fraud actions, shareholder lawsuits, advisor non-solicitation disputes, employment litigation, and investor fraud cases involving wirehouses, registered investment advisors (RIAs), and alternative investment firms. Among the firms and regulators she has covered are Franklin Templeton, Wells Fargo, TIAA, FS KKR Capital, and Apollo Global Management.

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Tez Romero
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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.