Former Merrill Lynch Broker Sentenced to Seven Years for Defrauding Investors

December 8, 2021

Opportunity Zone Fund Manager Charged with Securities Fraud

November 18, 2021

SEC Obtains Final Judgment Against Sentenced Merrill Lynch Advisor

November 1, 2021

SEC Charges Adviser with Stealing $3 Million to Pay Off Credit Cards, Buy Gold Coins

October 29, 2021

SEC Obtains Final Judgment Against Longtime Broker Sentenced to 170 Months in Prison

October 13, 2021

Former Merrill Lynch Adviser Sentenced to Prison for Defrauding Clients

August 18, 2021

SEC Bars Former First Capital REIT Chairman and CEO After Obtaining $7 Million Judgement

July 22, 2021

SEC Obtains Final Judgement Against Former Morgan Stanley Adviser Who Stole $6 Million

July 7, 2021

Former Broker Sentenced to More Than Five Years for Defrauding Retail Investors

June 11, 2021

Former Cetera Broker Sentenced to Federal Prison for Fraud

June 7, 2021

SEC Bars Former Geneos Broker Who Pled Guilty to Selling Phony Humanitarian Investment

May 7, 2021

SEC Obtains Final Judgment Against Broker Sentenced for Defrauding Retail Investors

April 23, 2021

17-Year Prison Sentence for Financial Planner Who Improperly Sold Alts

March 30, 2021

SEC Obtains Judgment Against Former LPL Broker that Ran $5 Million Ponzi Scheme

February 23, 2021

SEC Bars Longtime Broker Sentenced to 170 Months in Prison

February 19, 2021

Former GPB Capital CEO Pleads Not Guilty in $1.8 Billion Fraud Case

February 11, 2021

SEC Obtains Asset Freeze Against California Couple to Stop Alleged Investment Fraud

January 12, 2021

SEC Charges Utah Company, its Principals, and Two Recidivists with Securities Fraud

January 11, 2021

SEC Obtains Judgment Against Adviser Who Stole Millions from Clients

January 6, 2021

SEC Charges New York Man with Defrauding Police and Firefighters in Ponzi Scheme

January 4, 2021