The Justice Department has charged investment advisor brothers Adam and Daniel Kaplan with wire and investment fraud and money laundering.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
The Justice Department has charged investment advisor brothers Adam and Daniel Kaplan with wire and investment fraud and money laundering.
The Securities and Exchange Commission (SEC) has convinced the U.S. Court of Appeals for the Seventh Circuit to uphold a $1.8 million judgment imposed on an advisor accused of fraud.
The Securities and Exchange Commission (SEC) has charged former Chief Investment Officer and founder of Infinity Q Capital, James Velissaris, for allegedly overvaluing assets by more than $1 billion while collecting million of dollars in ill-gained fees.
The Securities and Exchange Commission (SEC) has charged The Heartland Group Ventures, Heartland Production and Recovery, six other Heartland-affiliated entities, four Heartland-affiliated individuals as well as several oil and gas operators.
The Securities and Exchange Commission (SEC) has charged a former Illinois-based investment advisor, Ronald Molo, with defrauding three clients out of at least $800,000.
The Securities and Exchange Commission (SEC) has filed suit against Joshua Burrell and his company, Activated Capital LLC, alleging securities fraud pertaining to Opportunity Zone Investments.
The Securities and Exchange Commission (SEC) has obtained an emergency court order freezing the assets of Ron Harrison, who allegedly operated an ongoing fraudulent scheme.
A Philadelphia-based investment advisor, Brenda Smith, has confessed to operating a $100 million securities fraud scheme.
The Securities and Exchange Commission (SEC) has filed an emergency action against a New York-based advisor, Martin Ruiz, as well as two entities he controls, Bain Wealth Management and RAM Fund.
The Securities and Exchange Commission (SEC) has filed suit against a San Antonio-based advisor for managing a fraudulent scheme which raised nearly $58 million from at least 300 clients. According to the complaint, Robert Mueller and his firm Deeproot Funds, LLC served as investment advisors for two pooled investment funds organized by Mueller.
WealthFeed leverages proprietary AI technology to collect nine real-time financial data points, including business sales, capital raises, inheritances, and job changes.
The Securities and Exchange Commission (SEC) is ramping up its enforcement efforts targeting off-channel communications, particularly text messages, among investment advisory firms.
B. Riley Financial Inc. has encountered a setback in filing its audited results within an extended timeframe, adding to existing pressure amid concerns raised by short sellers regarding its association with a former business partner.