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Manhattan Investment Adviser Charged in $1.5 Million Client Theft

The United States Attorney for the Southern District of New York has unsealed an indictment charging Donald LaGuardia with securities fraud, wire fraud, and...

SEC Charges Founder of Bankrupt Advisory Firm with Fraud

The Securities and Exchange Commission has charged a founder and managing principal of a New York-based investment adviser for misappropriating approximately $2.6 million from...