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The Parking REIT CEO Plans to Fight SEC Fraud Charges

Michael Shustek, the founder and chief executive officer of several real estate investment trusts, has been charged by The Securities and Exchange Commission with...

SEC Bars Former Raymond James Broker Who Pled Guilty to Stealing...

The Securities and Exchange Commission has barred former Raymond James broker Frederick Stow who pled guilty last October to aggravated identity theft, securities fraud,...

SEC Obtains Final Judgement Against Former Morgan Stanley Adviser Who Stole...

The Securities and Exchange Commission has obtained a final judgement against former Morgan Stanley advisor, Michael B. Carter, who stole more than $6 million...

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...

SEC Charges Former LPL Broker with Stealing $2.9 Million from Clients

The Securities and Exchange Commission has charged Massachusetts-based investment adviser and former LPL Financial broker, James K. Couture, with defrauding his advisory clients and...

SEC Bars Advisor Who Pled Guilty to Defrauding Clients Out of...

The Securities and Exchange Commission has barred former investment adviser Isaiah Goodman, who pled guilty in a Minnesota district court to defrauding at least...

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 Charges Former Adviser with Fraud for Allegedly Stealing $2.3 Million...

The Securities and Exchange Commission has charged former investment adviser Isaiah Goodman with allegedly defrauding his advisory clients out of approximately $2.3 million. According to...

NASAA Details State Enforcement Actions Against GPB Capital

The North American Securities Administrators Association (NASAA) has reported that seven state securities agencies have filed regulatory actions against New York-based investment adviser GPB...

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...