Tagged with "CEO"

Former GWG CEO Resigns From Board

Posted on December 16th, 2022 at 1:27 PM
Former GWG CEO Resigns From Board

GWG Holdings announced its bankruptcy earlier this year, which has resulted in the resignations of multiple members of its board of directors. 

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CPF Board Committed To Enforcing Its Standards: CEO

Posted on December 13th, 2021 at 1:42 PM
CPF Board Committed To Enforcing Its Standards: CEO

Certified Financial Planning (CFP) Board CEO, Kevin Keller, recently participated in a Zoom interview with InvestmentNews’ Mark Schoeff Jr. to discuss the Board’s initiatives as 2022 approaches.

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CEO of Defunct Broker-Dealer Faces Fraud Charges

Posted on November 8th, 2021 at 1:42 PM
CEO of Defunct Broker-Dealer Faces Fraud Charges

The former CEO of First American Securities, Thomas Brenner, is facing seven federal fraud charges related to sales of private placement securities after the firm was barred.

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Former Texas Registered Rep Arrested for Internet Ponzi Scheme

Posted on February 8th, 2017 at 9:31 AM
Former Texas Registered Rep Arrested for Internet Ponzi Scheme

Former registered rep Bobby Eugene Guess was arrested following his indictment on charges of securities fraud, theft, money laundering and engaging in organized criminal activity related to the multi-million-dollar sale of investments in an internet advertising company.

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