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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...

SEC Bars Former Geneos Broker Who Pled Guilty to Selling Phony...

The Securities and Exchange Commission has barred Bradley Joseph Tennison, a former Geneos Wealth Management broker who pled guilty to selling unregistered securities in...

SEC Obtains Final Judgment Against Broker Sentenced for Defrauding Retail Investors

The Securities and Exchange Commission received a final judgment against former Connecticut investment adviser Lester Burroughs, who pled guilty in December 2019 to one...

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

Former broker Anthony Diaz was sentenced on Friday to 210 months in prison and three years of supervised release for wire fraud and mail...

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

The Securities and Exchange Commission has obtained a final judgement against James T. Booth, a former LPL Financial broker who operated a Ponzi scheme...

SEC Bars Longtime Broker Sentenced to 170 Months in Prison

The Securities and Exchange Commission has barred 60-year-old former broker, Steven Pagartanis, who was sentenced to 170 months in prison last year for defrauding...