Tagged with "court order"

SEC Obtains Emergency Court Order to Freeze Assets of a Former LPL Adviser

Posted on September 20th, 2017 at 10:56 AM
SEC Obtains Emergency Court Order to Freeze Assets of a Former LPL Adviser

The United States District Court for the District of Colorado has issued an emergency court order to freeze all assets of former LPL adviser, Sonya Camarco along with her investment companies, Camarco Investments Inc. and Camarco Living Trust.

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LATEST NEWS AND ARTICLES

December 3, 2021
FINRA Issues Fine to Small Advisory Firm Over Material Misrepresentations

The Financial Industry Regulatory Authority has censured and issued a $250,000 fine to a Los Angeles-based advisory firm, WestPark Capital Inc., for making material misrepresentations pertaining to promissory notes offered by its parent company.

December 2, 2021
FINRA Imposes Suspension on Ohio-Based Advisor Over Outside Investments

The Financial Industry Regulatory Authority (FINRA) has issued a one-year suspension and $12,500 fine to an Ohio-based advisor, William LeBoeuf, who worked at Merrill Lynch and Cetera Advisor Networks when the violations occurred.

December 1, 2021
SEC Charges Former Illinois Edward Jones Advisor With Fraud

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.