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Former Merrill Lynch Broker Sentenced to Seven Years for Defrauding Investors

Phillip Conley, a former registered representative, has been sentenced to 87 months in prison for defrauding West Virginia churches, pastors, and others out of...

Opportunity Zone Fund Manager Charged with Securities Fraud

Federal prosecutors have charged Joshua Burrell, chief executive officer of New York-based investment firm Activated Capital, with a number of securities fraud offenses in...

SEC Obtains Final Judgment Against Sentenced Merrill Lynch Advisor

The Securities and Exchange Commission has obtained a final judgment against former Merrill Lynch financial adviser, Marcus Boggs, who was previously charged with stealing...

SEC Charges Adviser with Stealing $3 Million to Pay Off Credit...

The Securities and Exchange Commission has charged Kenneth Welsh, a former New Jersey-based broker and investment adviser representative with stealing nearly $3 million from...

SEC Obtains Final Judgment Against Longtime Broker Sentenced to 170 Months...

A New York district court has entered a final judgment against Steven Pagartanis, a barred broker who was sentenced to 170 months in prison...

Former Merrill Lynch Adviser Sentenced to Prison for Defrauding Clients

Former Merrill Lynch financial adviser, Marcus Boggs, has been sentenced to three and a half years in federal prison for swindling more than $3...

SEC Bars Former First Capital REIT Chairman and CEO After Obtaining...

The Securities and Exchange Commission has obtained judgements against Suneet Singal and three entities he controlled for their roles in two public company frauds,...

SEC Obtains Final Judgement Against Former Morgan Stanley Adviser Who Stole...

The Securities and Exchange Commission has obtained a final judgement against former Morgan Stanley advisor, Michael B. Carter, who stole more than $6 million...

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

Edward E. Matthes, who was charged by the SEC in January 2020 with defrauding 26 elderly retail and advisory clients, has been sentenced in...

Former Cetera Broker Sentenced to Federal Prison for Fraud

A former Cetera Advisor Networks broker who defrauded clients out of more than $1 million has been sentenced to five years in federal prison...