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Tagged with "brokerage accounts"

Stockbroker Pleads Guilty in Securities Fraud

Posted on November 12th, 2016 at 9:00 AM
Stockbroker Pleads Guilty in Securities Fraud

A Boca Raton, Florida stockbroker named Gerald Cocuzzo who worked at Newbridge Securities Corporation, has pled guilty to participating in a $131 million securities fraud and could face up to 20 years in prison. 

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Chicago Broker Barred for Misappropriating Funds

Posted on December 18th, 2014 at 8:12 AM
Chicago Broker Barred for Misappropriating Funds

FINRA has barred an Illinois broker for illegally and unethically arranging for the transfer of funds from client accounts.

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