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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...

Former GPB Capital CEO Pleads Not Guilty in $1.8 Billion Fraud...

David Gentile, the owner and now former chief executive officer of New York-based GPB Capital Holdings, pled not guilty to fraud and conspiracy charges...

SEC Obtains Asset Freeze Against California Couple to Stop Alleged Investment...

The Securities and Exchange Commission has obtained an emergency court order freezing assets of a San Juan Capistrano, California-based company and its founder, who...

SEC Charges Utah Company, its Principals, and Two Recidivists with Securities...

The Securities and Exchange Commission has settled charges against a Utah corporation, its principals, and two securities fraud recidivists for allegedly orchestrating two inter-related...

SEC Obtains Judgment Against Adviser Who Stole Millions from Clients

The Securities and Exchange Commission has obtained a final judgment against former Morgan Stanley Smith Barney broker, Barry F. Connell, who was previously charged...

SEC Charges New York Man with Defrauding Police and Firefighters in...

The Securities and Exchange Commission has charged Gregory Altieri of Melville, New York with allegedly operating a Ponzi-like scheme that defrauded current and retired...

SEC Bars Adviser for Recommending Clients Invest $3 Million in Ponzi...

The Securities and Exchange Commission has barred adviser Craig Rumbaugh for recommending that eight of his clients invest more than $3 million in a...

Feds Arrest Alleged Ponzi Schemer Who Fled in Underwater Submersible Device

Federal agents have arrested unregistered investment adviser, Matthew Piercey, creator of investment companies Family Wealth Legacy and Zolla, who was charged with running a...

SEC Obtains Final Judgment Against Former Apollo Partner Who Defrauded Fund...

The Securities and Exchange Commission has obtained a final judgment against Mohammed Ali Rashid, a former senior partner at private equity giant Apollo Management...