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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...

SEC Obtains Final Judgment Against California Adviser Who Defrauded Senior Citizens

The Securities and Exchange Commission obtained a final judgment against California-registered investment adviser representative Paul Horton Smith Sr., his companies Northstar Communications, LLC and...

SEC Bars Former Commonwealth Broker Who Pled Guilty to Stealing $3.7...

The Securities and Exchange Commission has barred former long-time Commonwealth Financial broker, Gerald Allan Eaton, after he pled guilty to stealing more than $3.7...

SEC Charges Former Broker with $4 Million Offering Fraud

The Securities and Exchange Commission has charged former broker and New York City resident Craig A. Zabala for defrauding investors in his company, Concorde...

SEC Charges Former Transamerica Broker with Defrauding Retail Investors

The Securities and Exchange Commission has charged Scott Allen Fries, a former Ohio-based registered representative and investment adviser representative, with allegedly defrauding at least...

SEC Charges Adviser with Fraud for Stealing More Than $2.2 Million...

The Securities and Exchange Commission has charged California-based investment adviser Mark J. Boucher and his company Strategic Wealth Advisor Group Services Inc. with misappropriating...

SEC Charges Former Brokers with Illegally Selling Securities in Multi-Million Dollar...

The Securities and Exchange Commission has charged two former registered representatives, Minish "Joe" Hede and Kevin Graetz, for acting as unregistered brokers in the...

SEC Charges Former RIA Principal with Data Manipulation and Valuation Fraud

The Securities and Exchange Commission has charged Brendan Matthew Ross, the owner and former CEO of registered investment adviser Direct Lending Investments LLC (DLI),...

SEC Charges Former Morgan Stanley Advisor with Fraud

The Securities and Exchange Commission has charged former registered representative and investment adviser Michael Barry Carter with fraud for allegedly stealing from brokerage customers...