Tagged with "Fraud"

$1.8 Million SEC Judgement Against Advisor Upheld on Appeal

Posted on July 25th, 2022 at 1:27 PM
$1.8 Million SEC Judgement Against Advisor Upheld on Appeal

The Securities and Exchange Commission (SEC) has convinced the U.S. Court of Appeals for the Seventh Circuit to uphold a $1.8 million judgment imposed on an advisor accused of fraud.

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SEC Charges Infinity Q Founder Over Valuation Fraud

Posted on February 28th, 2022 at 1:42 PM
SEC Charges Infinity Q Founder Over Valuation Fraud

The Securities and Exchange Commission (SEC) has charged former Chief Investment Officer and founder of Infinity Q Capital, James Velissaris, for allegedly overvaluing assets by more than $1 billion while collecting million of dollars in ill-gained fees.

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SEC Charges Texas Entities Over Oil and Gas Fraud

Posted on January 19th, 2022 at 12:50 PM
SEC Charges Texas Entities Over Oil and Gas Fraud

The Securities and Exchange Commission (SEC) has charged The Heartland Group Ventures, Heartland Production and Recovery, six other Heartland-affiliated entities, four Heartland-affiliated individuals as well as several oil and gas operators.

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SEC Charges Former Illinois Edward Jones Advisor With Fraud

Posted on December 1st, 2021 at 12:36 PM
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.

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SEC Charges New York Advisor and His Firm With Securities Fraud

Posted on November 24th, 2021 at 12:27 PM
SEC Charges New York Advisor and His Firm With Securities Fraud

The Securities and Exchange Commission (SEC) has filed suit against Joshua Burrell and his company, Activated Capital LLC, alleging securities fraud pertaining to Opportunity Zone Investments.

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SEC Freezes Assets and Halts Alleged Fraudulent Scheme By Ron Harrison

Posted on October 13th, 2021 at 1:01 PM
SEC Freezes Assets and Halts Alleged Fraudulent Scheme By Ron Harrison

The Securities and Exchange Commission (SEC) has obtained an emergency court order freezing the assets of Ron Harrison, who allegedly operated an ongoing fraudulent scheme.

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Philadelphia Advisor Confesses to Conducting $100 Million Scheme

Posted on September 21st, 2021 at 4:17 PM
Philadelphia Advisor Confesses to Conducting $100 Million Scheme

A Philadelphia-based investment advisor, Brenda Smith, has confessed to operating a $100 million securities fraud scheme.

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SEC Files Court Order to Halt Advisor’s Alleged Offering Fraud

Posted on August 26th, 2021 at 12:07 PM
SEC Files Court Order to Halt Advisor’s Alleged Offering Fraud

The Securities and Exchange Commission (SEC) has filed an emergency action against a New York-based advisor, Martin Ruiz, as well as two entities he controls, Bain Wealth Management and RAM Fund.

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SEC Charges San Antonio Advisor with Conducting a Fraudulent Scheme

Posted on August 24th, 2021 at 12:31 PM
SEC Charges San Antonio Advisor with Conducting a Fraudulent Scheme

The Securities and Exchange Commission (SEC) has filed suit against a San Antonio-based advisor for managing a fraudulent scheme which raised nearly $58 million from at least 300 clients. According to the complaint, Robert Mueller and his firm Deeproot Funds, LLC served as investment advisors for two pooled investment funds organized by Mueller.

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Georgia Advisor Fraudulently Invests $5.1 Million in Client Funds, SEC Alleges

Posted on July 21st, 2021 at 1:30 PM
Georgia Advisor Fraudulently Invests $5.1 Million in Client Funds, SEC Alleges

According to a complaint filed by the Securities and Exchange Commission (SEC), a Georgia-based advisor allegedly persuaded two dozen clients to invest nearly $5.1 million in two unregistered funds that purportedly guaranteed growth and limited risk.

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LATEST NEWS AND ARTICLES

August 16, 2022
SEC Warns Financial Advisory Firms Regarding Conflicts of Interest Tied to Compensation

The Securities and Exchange Commission (SEC) has sent a warning to financial advisory firms that they must go above and beyond solely disclosing conflicts of interest related to employee pay programs in order to avoid regulatory scrutiny. 

August 15, 2022
FINRA Proposal Would Permit Private Homes to Serve as Non-Branch Offices

The Financial Industry Regulatory Authority (FINRA) has filed proposed changes to FINRA Rule 3110 with the Securities and Exchange Commission (SEC).

August 12, 2022
SEC Charges J.P. Morgan, UBS, and TradeStation for Deficiencies Pertaining to the Prevention of Customer Identify Theft

The Securities and Exchange Commission (SEC) has charged J.P. Morgan Securities, UBS Financial Services, and TradeStation Securities over deficiencies in their programs designed to prevent client identify theft, which violates the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID.