SEC Bars Former Raymond James Adviser Accused of Defrauding 100 Clients

January 14, 2022

Former Merrill Lynch Broker Sentenced to Seven Years for Defrauding Investors

December 8, 2021

SEC Charges Former Longtime Broker with Stealing Nearly $1 Million from Clients

November 29, 2021

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

October 29, 2021

Four UDF REIT Executives Charged with Fraud

October 25, 2021

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

October 13, 2021

SEC Charges Former Raymond James Investment Advisor with Defrauding 100 Clients

September 27, 2021

The Parking REIT CEO Plans to Fight SEC Fraud Charges

August 2, 2021

SEC Bars Former Raymond James Broker Who Pled Guilty to Stealing $1 Million from Clients

July 14, 2021

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

July 7, 2021

Former LPL Broker to Plead Guilty to Stealing $2.9 Million from Clients

June 9, 2021

SEC Charges Former LPL Broker with Stealing $2.9 Million from Clients

June 2, 2021

SEC Bars Advisor Who Pled Guilty to Defrauding Clients Out of $2.3 Million

March 23, 2021

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

February 11, 2021

SEC Charges Former Adviser with Fraud for Allegedly Stealing $2.3 Million from Clients

February 10, 2021

NASAA Details State Enforcement Actions Against GPB Capital

February 9, 2021

SEC Obtains Final Judgment Against California Adviser Who Defrauded Senior Citizens

October 23, 2020

SEC Charges Unlicensed Adviser with Orchestrating $3 Million Offering Fraud

October 15, 2020

XY Planning Nixes Supreme Court Challenge of Reg BI, Plans to Take Fiduciary Fight to States

October 13, 2020

SEC Charges Recidivist Advisor in Alleged $1 Million Investment Fraud

September 30, 2020