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Former Broker Pleads Guilty to Fraud and Lying to the SEC

Richard Cody, a former investment adviser and broker who was previously charged by the Securities and Exchange Commission with defrauding Massachusetts retirees, pled guilty...

SEC Bars Financial Adviser for Stealing $9 Million from Charitable Foundation

The Securities and Exchange Commission has barred New York-based investment adviser John H. Rogicki for his role in defrauding a non-profit charitable foundation out...

IFP Adds Another Executive Ahead of Broker-Dealer Launch

Independent Financial Partners, a registered investment adviser and office of supervisory jurisdiction for LPL Financial, has hired Bill McCauley as its new chief financial...

SEC Obtains Final Judgement Against Investment Adviser’s Assistant Accused of Aiding...

A federal district court in the Western District of New York entered a final judgment against Amherst, New York resident Lauramarie Colangelo, formerly an...

SEC Obtains Asset Freeze, Shuts Down Alleged $5 Million Ponzi Scheme

The Securities and Exchange Commission has charged a Virginia investment adviser firm and its sole owner with allegedly operating a nearly $5 million Ponzi...

NAPA President Named New Head of IFP Plan Advisors

Independent Financial Partners, a registered investment adviser and office of supervisory jurisdiction, has hired Jeff Acheson as divisional president of IFP Plan Advisors, the...