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Blog - Page 84

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June 17, 2015

SEC Charges Ohio-Based Ira Provider in Connection With Ponzi Scheme

Equity Trust Company, an Ohio-based IRA provider, is facing SEC charges for allegedly ignoring the warning signs on accounts that eventually were...
June 16, 2015

SEC Charges New Jersey Man With Defrauding Small Businesses

The SEC has charged Nicholas Lattanzio, a New Jersey man who was allegedly posing as a hedge fund manager, with fraud. According...
June 16, 2015

Pamela Hass Charged With 10 Counts of Wire Fraud, 11 Counts of Money Laundering

A U.S. Attorney for the Western District of Wisconsin recently announced the unsealing of an indictment charging an investment advisor...
June 15, 2015

Former Merrill Lynch Broker Thomas J. Buck Faces Several Investor Complaints

Thomas Buck, formerly a broker with Merrill Lynch and now an investment broker at RBC Wealth Management, is facing several complaints...
June 14, 2015

Former NFL Player and Former Bank Exec Arrested for Securities Fraud

A recent criminal complaint charged former Patriots player Will Allen and former Regions Bank executive Susan Daub with securities fraud for their...
June 5, 2015

Former Ohio State Representative Peter Beck Found Guilty on 13 Counts

A former Ohio lawmaker was found guilty this week on 13 of the 38 total felony counts against him for...
June 4, 2015

Beware of Trusting Financial Advisors Based on Credentials Alone

The U.S. Securities and Exchange Commission recently released a warning to investors to thoroughly check a financial advisor’s purported credentials. ...
June 1, 2015

Sixth Circuit Court of Appeals Upholds $120 Million Judgment Against Oil Fraudster for Selling Unregistered Securities in the Form of Promissory Notes

The Securities and Exchange Commission (SEC) announced in February that Joseph Zada was ordered to pay $121.6 million by a...
May 18, 2015

Former Allstate Broker Philip Leonard Grasso Accused of Misappropriating Funds From Elderly Investors

Philip L. Grasso, formerly a broker with Allstate, allegedly defrauded two of his elderly customers out of $227,150 by diverting money from life...
May 17, 2015

Nationwide to Pay $8 Million Over Variable Annuity Failures

Nationwide Life Insurance will pay an $8 million penalty to the U.S. Securities and Exchange Commission over variable annuity and...
May 14, 2015

Morgan Stanley Fined $2 Million Over Multiple Violations

Regulators say that brokerage firm violated industry rules relating to short interest reporting and short sales. Morgan Stanley, one of...
May 13, 2015

Wilfred Azar Pleads Guilty in $7 Million Bond Scheme

The owner of a Maryland office building “Empire Towers” recently pleaded guilty to operating a $7 million bond scheme involving...

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