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Dawn Bennett Appeals 20-Year Prison Sentence for Ponzi Scheme that Paid...

Former financial adviser and radio talk show host Dawn Bennett, who was sentenced to 20 years in prison last month for defrauding 46 investors...

SEC Charges Recidivist Violator with Securities Fraud Following Incarceration for Ponzi...

The Securities and Exchange Commission has charged Antonio Bravata, a recidivist securities law violator and convicted felon, with securities fraud that was conducted while...

SEC Charges Adviser for Defrauding Two Retail Investors in Oversees Investment...

The Securities and Exchange Commission has charged Richard G. Duncan, a longtime investment adviser and broker who first became registered in 1971, with defrauding...

SEC Begins Administrative Proceedings Against Broker Sentenced to Five Years in...

The Securities and Exchange Commission has instituted public administrative proceedings against a former broker who was sentenced to federal prison in June for wire...

Former Woodbridge Group CEO Pleads Guilty to Running $1.3 Billion Ponzi...

Robert Shapiro, who formerly served as chief executive officer of Woodbridge Group of Companies, pleaded guilty to conspiracy and tax evasion in Miami. Under Shapiro’s...

FINRA Bars Former Pruco Broker for Forging VA Applications to Meet...

The Financial Industry Regulatory Authority has barred Karen Paek, a former Pruco Securities broker, for creating and submitting multiple fictitious variable annuity applications to...

Longtime Securities America Broker Sentenced to 13 Years for Ponzi Scheme

Hector May, a former Securities America broker who stole millions of dollars from his clients in a Ponzi scheme with his daughter, was sentenced...

SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing

The Securities and Exchange Commission has charged Commonwealth Financial Network, a registered investment adviser and broker-dealer that manages approximately $85 billion in client assets,...

Financial Advisor with a Penchant for Witchcraft Sentenced to 20 Years...

Former financial adviser and radio talk show host Dawn Bennett was sentenced to 20 years in prison on Wednesday for defrauding 46 investors out...

SEC Charges Utah Man with Defrauding Investors in a Real Estate...

The Securities and Exchange Commission has charged Landon M. Smith of Salt Lake County, Utah with operating a real estate offering fraud and Ponzi...