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SEC Bars Former RIA Executive Who Plead Guilty to Stealing from...

The Securities and Exchange Commission has barred Richard Diver, the former chief operating officer and co-founder of wealth management firm M&R Capital Management Inc.,...

SEC Obtains Judgment Against Investment Adviser Charged with Fraud

The U.S. District Court for the Southern District of Indiana entered a final judgment against Tamara Steele and her Indianapolis-based investment advisory firm Steele...

SEC Charges Three Texans for Offering and Selling Fraudulent Oil and...

The Securities and Exchange Commission has charged three Texas residents who allegedly used deceptive offering materials and promotional videos to sell $2.7 million in...

Court Fines Ponzi Scheme Operators $1.8 Million

Neil Burkholz of Boca Raton and Frank Bianco of Pembroke Pines, Florida, who were charged by the SEC last year for conducting an alleged...

SEC Charges Former Merrill Lynch Registered Representative with Defrauding Investors

The Securities and Exchange Commission has charged Phillip Conley, a West Virginia-based former registered representative, with conducting fraudulent securities offerings in which he raised...

SEC Charges Three Former RIA Employees with Attempting to Thwart Ponzi...

The Securities and Exchange Commission has charged three individuals who, while working for investment adviser Stephen C. Peters, falsified and withheld documents that were...

SEC Obtains Judgments Against Three Who Orchestrated Public Shell Company Fraud

A federal district court in Florida entered final judgments against a Florida-based certified public accountant, a former broker, and the former broker's spouse, in...

SEC Bars Former Wells Fargo/Morgan Stanley Broker Serving Time for Fake...

The Securities and Exchange Commission has barred Elias Herbert Hafen, a former financial adviser at Wells Fargo and Morgan Stanley sentenced to 30 months...

Former Woodbridge Broker Indicted for Alleged $9 Million Fraud on Elderly

The Texas State Securities Board announced that Brett Pittsenbargar, an Austin-based insurance agent who allegedly sold $9.3 million in fraudulent investments, is facing first-degree...

SEC Obtains Judgment Against Former Adviser Charged with Defrauding Retirees

A federal district court in Massachusetts entered a final judgment against Richard Cody, a former investment adviser and broker representative who defrauded Massachusetts retirees. According...