Ohio-Based Financial Managers Indicted for Defrauding Investors of $72 Million

April 14, 2023

LPL Financial Adds Former Securities America Firm with $200 Million in Assets

April 6, 2023

Financial Practice with $220 Million in Assets Joins LPL Financial

April 4, 2023

Former Edward Jones Advisor Joins LPL Financial

March 31, 2023

SEC Charges Broker with Defrauding Investor of Millions

March 30, 2023

SEC Obtains Final Judgement Against Former LPL Advisor Who Defrauded Clients of $2.9 Million

March 29, 2023

SEC Charges Financial Advisor for Defrauding NBA Players

March 27, 2023

SEC Charges Darius Karpavicius with $4 Million Fraud

March 17, 2023

SEC Charges Self-Proclaimed California Entrepreneur with Fraud

March 15, 2023

SEC Obtains Judgement Against Perpetrator of Multi-Million Dollar Securities Fraud

March 14, 2023

SEC Charges Former Girardi Adviser with Running Ponzi Scheme

March 6, 2023

Former Merrill Lynch Advisors Charged with Defrauding Investors of $5 Million

March 6, 2023

SEC Charges Advisor for Defrauding Nearly a Dozen Clients

March 2, 2023

Stockbroker Uses Invesco as Cover for Fraud

March 1, 2023

Ozy Media and CEO Charged with Securities Fraud

February 24, 2023

Mormon Church Settles SEC Charges for $5 Million

February 22, 2023

NBA Hall of Famer Fined by the SEC for Misleading Crypto Endorsements

February 21, 2023

SEC Proposes Significant Change to Adviser Custody Rule

February 16, 2023

SEC Charges Hudson Advisors and Lone Star Global Over Fund Fees

September 13, 2022

SEC Charges 13 Private Fund Advisers for Repeated Filing Failures

June 4, 2018