Tag: investment adviser
SEC Bars Adviser Accused of Defrauding Elderly Client
The Securities and Exchange Commission has barred former Michigan-based investment adviser, Steven F. Muntin, who was charged with defrauding one of his clients out...
Cetera Recruits $300 Million Team from Mass Mutual
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, has recruited Skafco, a financial planning team that manages approximately $300...
SEC Obtains Judgment Against Adviser Accused of Defrauding Elderly Client
The Securities and Exchange Commission has obtained a final judgement against former Michigan-based investment adviser, Steven F. Muntin, who was charged with defrauding one...
SEC Charges Dually Registered Broker with Operating Ponzi Scheme
The Securities and Exchange Commission has filed an emergency action and charged North Carolina-based broker and investment adviser Shawn Good with defrauding clients and...
SEC Charges Former LPL/Wells Fargo Broker with Stealing $680,000 from Clients
The Securities and Exchange Commission has charged Mario E. Rivero Jr., a former broker and investment adviser, with misappropriating at least $680,000 from his...
Cetera Advisor Networks Appoints New President
Cetera Financial Group, a network of independent retail firms, has appointed Tim Stinson as president of Cetera Advisor Networks.
Stinson replaces Tom Taylor, who will...
SEC Charges Former UBS Advisor with Stealing $5.8 Million from Client
The Securities and Exchange Commission has charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing...
SEC Charges Former Longtime Broker with Stealing Nearly $1 Million from...
The Securities and Exchange Commission has charged Ronald T. Molo, a former investment adviser and broker at Edward Jones, with allegedly defrauding three investors...
Crown Capital Securities to Pay $1.6 Million to Settle SEC Charges
The Securities and Exchange Commission has ordered Crown Capital Securities LP, a dually registered investment adviser and broker-dealer, to pay nearly $1.6 million in...
Former LPL Broker to Plead Guilty to Stealing $2.9 Million from...
Massachusetts-based investment adviser and former LPL Financial broker, James K. Couture, will plead guilty to three counts of wire fraud and one count of...
