Tagged with "Defrauding"

SEC Charges Four Individuals Involved In Fraudulent Scheme Targeting Retirees

Posted on April 15th, 2022 at 1:13 PM
SEC Charges Four Individuals Involved In Fraudulent Scheme Targeting Retirees

The Securities and Exchange Commission (SEC) has charged Julie Minuskin, Dennis DiRicco, Tom Casey and Golden Genesis, Inc. with defrauding investors with their sales of high-yield promissory notes primarily to retirees.

 
 

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Boston Man Agrees To SEC Settlement After Guilty Plea

Posted on January 6th, 2022 at 3:05 PM
Boston Man Agrees To SEC Settlement After Guilty Plea

A Boston man accused of defrauding investors has agreed to a settlement with the Securities and Exchange Commission (SEC) after pleading guilty in a parallel criminal case.

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SEC Charges Texas Advisor and Three Individuals with Defrauding Retail Investors

Posted on May 19th, 2021 at 11:53 AM
SEC Charges Texas Advisor and Three Individuals with Defrauding Retail Investors

On May 13, the Securities and Exchange Commission (SEC) filed suit against Texas-based investment advisor Knight Nguyen Investments and three individuals for allegedly planning to invest funds from retail investors in at least five fraudulent securities offerings.

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Houston Woman Charged with Defrauding Professional Athletes

Posted on January 22nd, 2017 at 8:27 PM
Houston Woman Charged with Defrauding Professional Athletes

Peggy Ann Fulford, 58, formerly of Houston and now residing in New Orleans, has been arrested and charged with wire fraud, mail fraud, interstate transportation of stolen property and money laundering.

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SEC Bars Ex-LPL Broker

Posted on October 27th, 2016 at 8:52 AM
SEC Bars Ex-LPL Broker

Paul Lebel, formerly registered with LPL Financial, was barred by the Securities and Exchange Commission for defrauding four customers by churning their accounts.  

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Former CUSO Broker Pleads Guilty to Wire Fraud

Posted on October 31st, 2014 at 4:12 PM

Ismail Elmas, a former registered financial advisor with CUSO Financial, has pleaded guilty to defrauding his clients, many of whom were seniors and widows, of more than $1 million.

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