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
Legal: Investor sues crypto firm, alleges Ponzi scheme with 48% guaranteed returns
REGULATION, LEGAL & COMPLIANCE FEB 20, 2026
Legal: Investor sues crypto firm, alleges Ponzi scheme with 48% guaranteed returns

The guaranteed returns stopped. The excuses didn't.

Legal: Shareholders accuse Ostin Technology of deepfake-driven $950M pump-and-dump scheme
REGULATION, LEGAL & COMPLIANCE FEB 17, 2026
Legal: Shareholders accuse Ostin Technology of deepfake-driven $950M pump-and-dump scheme

Real advisor names, AI deepfake videos, and a 94% single-day crash — all allegedly connected.

Legal: Former advisor sues TIAA, alleges firm destroyed his career after disability request
REGULATION, LEGAL & COMPLIANCE FEB 17, 2026
Legal: Former advisor sues TIAA, alleges firm destroyed his career after disability request

He ranked in the top ten and accumulated nearly $900 million in assets. Then he asked for help — and lost his job.

Legal: Investors sue ex-Goldman Sachs banker Bannon over alleged crypto fraud
REGULATION, LEGAL & COMPLIANCE FEB 13, 2026
Legal: Investors sue ex-Goldman Sachs banker Bannon over alleged crypto fraud

Frozen wallets, missing millions, and undisclosed insider fees fuel the allegations.

Investors sue Kyndryl after SEC probe triggers 55% stock crash
REGULATION, LEGAL & COMPLIANCE FEB 12, 2026
Investors sue Kyndryl after SEC probe triggers 55% stock crash

CFO ousted, auditor's opinion in question, and investors want answers.

Investors sue Oracle, allege executives dumped $1.87B amid AI hype
REGULATION, LEGAL & COMPLIANCE FEB 05, 2026
Investors sue Oracle, allege executives dumped $1.87B amid AI hype

The suit flags a red flag advisors know well: insider selling before the fall.

Legal: Investors sue BlackRock TCP for allegedly overstating net asset value
REGULATION, LEGAL & COMPLIANCE FEB 04, 2026
Legal: Investors sue BlackRock TCP for allegedly overstating net asset value

Shareholders claim they were kept in the dark about deteriorating portfolio health

Investors sue Florida attorney, allege $150 million PE fund theft scheme
REGULATION, LEGAL & COMPLIANCE FEB 03, 2026
Investors sue Florida attorney, allege $150 million PE fund theft scheme

Lawsuit claims fund managers siphoned millions while blocking investor returns.

Lawsuit accuses underwriters of enabling pump-and-dump using stolen advisor identities
REGULATION, LEGAL & COMPLIANCE FEB 03, 2026
Lawsuit accuses underwriters of enabling pump-and-dump using stolen advisor identities

Scammers allegedly impersonated real advisors on WhatsApp to lure retail investors.

Investors accuse transfer agent, IR firm of concealing shares in $300M fraud
REGULATION, LEGAL & COMPLIANCE FEB 02, 2026
Investors accuse transfer agent, IR firm of concealing shares in $300M fraud

Plaintiffs allege service providers hid 240 million shares from regulators for weeks.