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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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FINRA Suspends Former Cape Securities CCO for Supervision Failures Tied to GWG L Bonds and Complex ETPs

The Financial Industry Regulatory Authority (FINRA) recently suspended and fined Lester Joel Hochler, the former Chief Compliance Officer of Cape Securities Inc., for failing to reasonably supervise recommendations of speculative debt securities and complex exchange-traded products to retail customers.

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Florida Advisor Sentenced to 90 Months for Foreign Currency Ponzi Scheme and Tax Evasion

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Former Financial Advisor Pleads Guilty to $10 Million Fraud Scheme Targeting Elderly Client

A former financial advisor has pleaded guilty to wire fraud after orchestrating a scheme that stole nearly $10 million from an elderly client, according to reporting by Financial Advisor News.