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Massachusetts Regulators Charge Company in $10 Million Ponzi Scheme That Targeted...

The Massachusetts Securities Division has charged a Rhode Island man with operating a Ponzi scheme which defrauded more than 40 investors out of more...

Massachusetts Regulators Halt Million Dollar Real Estate Investment Scheme

The Massachusetts Securities Division has charged an Illinois man for selling unregistered securities to Massachusetts investors totaling nearly $1 million for various real estate...

SEC Adds Fraud Charges Against Purported Crypto Company for Faulty Regulation...

The Securities and Exchange Commission has filed a new fraud action against Longfin Corp. and its CEO for falsifying the company's revenue and, together...

SEC Bars Former Royal Alliance Adviser Sentenced for Multi-Million Dollar Fraud

The Securities and Exchange Commission has barred Kimberly Kitts, a former Royal Alliance adviser, who pleaded guilty late last year to criminal charges including...

SEC Halts Ponzi Scheme Run from UGA Fraternity House

The Securities and Exchange Commission has charged a recent college graduate with orchestrating a Ponzi scheme that targeted college students and young investors. The...

SEC Charges Long Island Recidivist with Running Offering Fraud

The Securities and Exchange Commission has charged recidivist securities law violator Donald A. Milne III of Merrick, New York and his company Instaprin Pharmaceuticals...

FINRA Bars Former Commonwealth Broker for Refusing to Provide Documents to...

The Financial Industry Regulatory Authority has barred Benjamin Frank Bourgeois, a former Commonwealth Financial broker, for refusing to produce documents and information requested by...

SEC Charges Texas Man in Real Estate Investment Scam

The Securities and Exchange Commission has charged George Slowinski with perpetrating a more than $20 million offering fraud involving real estate in the South...

SEC Charges Investment Adviser with Fraud for Overcharging Advisory Fees

The Securities and Exchange Commission has charged investment adviser Stephen Brandon Anderson with defrauding clients by overcharging advisory fees of at least $367,000. According to...

SEC Seeks Emergency Relief to Halt New York Developer’s Real Estate...

The Securities and Exchange Commission has filed an emergency action charging Robert C. Morgan, a New York residential and commercial real estate developer, and...