Tagged with "brokerage"

Former Florida Broker Sentenced to 6½ Years in Prison for $16 Million Fraud Scheme

Posted on December 14th, 2018 at 2:33 PM
Former Florida Broker Sentenced to 6½ Years in Prison for $16 Million Fraud Scheme

A federal judge in Florida has sentenced former Fort Lauderdale, Florida broker Salvatore Colonna to 6½ years in prison and ordered him to pay $13.1 million in restitution for his role in a $16 million precious metals and securities fraud scheme.

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Massachusetts Securities Division Investigates Kickback Conflict with Brokerage Firms

Posted on September 8th, 2017 at 4:57 PM
Massachusetts Securities Division Investigates Kickback Conflict with Brokerage Firms

The Massachusetts Securities Division has requested information from seven of the largest brokerage firms in the United State to determine whether broker rebates or kickbacks prevent ordinary investors from getting the best price for their trades.

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TESTIMONIALS

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We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.

Allan and Adele

LATEST NEWS AND ARTICLES

January 31, 2023
Former LPL Advisor Receives 8-Year Prison Sentence For Misappropriation of Client Funds

A former LPL financial advisor recently was sentenced to more than eight years in prison, or 100 months, for his role in a scheme that misappropriated $2.8 million from six clients. 

January 30, 2023
Silvergate Shares Skyrocket Amidst FTX Meltdown

Silvergate Capital share prices increased after the company announced its fourth-quarter results, even after FTX’s collapse, which forced Silvergate to fire staff and sell assets.

January 27, 2023
SEC Files Suit Against Gemini and Genesis Over Crypto “Earn” Program

The Securities and Exchange Commission (SEC) has filed suit against two crypto brokerages, Genesis Global Capital and Gemini Trust Co., for breaching federal securities laws.