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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 Charges Unlicensed Adviser with Orchestrating $3 Million Offering Fraud

The Securities and Exchange Commission has charged Alexander Rowland with the fraudulent offer and sale of nearly $3 million of securities to approximately 122...

XY Planning Nixes Supreme Court Challenge of Reg BI, Plans to...

XY Planning Network (XYPN), a membership organization comprised of more than 1,300 independent fee-for-service financial advisors, will not appeal its 2nd Circuit ruling on...

SEC Charges Recidivist Advisor in Alleged $1 Million Investment Fraud

The Securities and Exchange Commission has charged Clifton Curtis Sneed Jr., a recidivist securities law violator based in Texas, with defrauding investment advisory clients...

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...

Former SEC Examiner/GPB Executive Pleads Guilty to Misdemeanor Theft of Government...

Michael Cohn, a former Securities and Exchange Commission examiner who was hired as managing director and chief compliance officer at GPB Capital Holdings in...

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 Broker Using SEC Letterhead with Defrauding First Responders...

The Securities and Exchange Commission has charged a San Antonio-area businessman and his company with running an alleged multimillion-dollar scheme that purportedly defrauded retired...

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...