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The counts of the criminal information to which Sampson pled guilty alleged, inter alia, that he made material misrepresentations, and omitted to disclose material facts, ...
Browere engaged in a scheme to defraud numerous investors by, among other things, falsely representing the use of investor funds, the value of investments and ...
Financial Sherpa and its sole principal are now carrying the heavy weight of an SEC enforcement action and industry bar tied to a cherry-picking scheme ...
Respondents’ cherry-picking of profitable option trades financially benefited Beyersdorf and his wife and disadvantaged his clients. From October 2017 through April 2018, Beyersdorf and his ...
The Commission’s complaint alleged that Dougherty provided investment advice through C&D, and advised his clients to invest their money in various entities he controlled. The ...
Thompson, among other things, charged his clients unauthorized, unearned, and excessive fees, forged client signatures on advisory contracts, provided clients with inaccurate fee invoices, and ...
Maxwell, among other things, obtained $170,000 from two of his elderly clients to acquire an unsuitable blockchain investment fund without adequately disclosing the nature and ...
Nevada has rolled the dice by proposing its own fiduciary duty rule last month. You have until March to share your comments about the proposal. ...
There have been rumblings for years about concerns regulators may have when a client’s brokerage account gets switched to an advisory account that charges based ...
When four reps left Summit Equities ($3B in AUM) in Parsippany, N.J., they took client personally identifiable information with them – and the adviser was ...
New Jersey became the latest state to consider its own fiduciary duty standard last year. IA Watch has obtained the 61 comments sent to the ...
The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s ...
Kessler, the sole owner of an investment adviser, was a registered investment adviser representative and engaged in a number of prohibited business practices by an ...
Woodley submitted a series of invoices to his custodian to collect funds from client accounts as compensation purportedly for services performed or investments made on ...
Consider custody the gift that keeps on giving. The latest twist of the screw comes from Pennsylvania, where state securities officials last month released new ...
While there’s not an official rule proposal yet, New Jersey Oct. 15 announced a comment period (ending Dec. 14th) for a possible fiduciary duty standard ...
The mail fraud count to which DeShetler pleaded guilty alleged, among other things, that, beginning in early 2016, DeShetler began soliciting funds from clients by ...
Caufield convinced more than 40 investors to invest over $6 million in his high-yield promissory notes by promising investors significant returns generated from the revenues ...
Vazquez and Hoplon created the New Economic Opportunities Fund I, LLC (“NEON”) vehicle to pool investors’ funds ostensibly for the purpose of purchasing and flipping ...
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