Eccleston Law: For Investors. For Advisors
About
Who We Are
Testimonials
Disclaimers
Attorneys
For Advisors
Broker Transition
Transition Contract Review
Employment Matters
State Registration Problems & Discipline
FINRA Matters
Promissory Note Matters
Team/Parnership Disputes
CFP Board Matters
FINRA Enforcement Matters
State Registration Problems & Discipline
Transition Contract Review
Broker Litigation & Arbitration
Employment Matters
Regulatory Matters
Strategic Consulting
Whistleblower Law
Promissory Note Matters
Compliance Protection
Lawyer Referral Network
Expungement of CRD/BrokerCheck Disclosures
For Investors
Securities Fraud
Breach of Fiduciary Duty
Retirement Planning Negligence
Unauthorized Trading
Lawyer Referral Network
FAQs
News & Articles
News
Articles
Financial Counsel Blog
Videos
Newsletter Signup
Contact
Site Menu
About
Who We Are
Testimonials
Disclaimers
Attorneys
For Advisors
For Advisors: Overview
Broker Transition
Broker Transition Overview
Transition Contract Review
Employment Matters
State Registration Problems & Discipline
FINRA Matters
Promissory Note Matters
Team/Parnership Disputes
CFP Board Matters
FINRA Enforcement Matters
State Registration Problems & Discipline
Transition Contract Review
Broker Litigation & Arbitration
Employment Matters
Regulatory Matters
Strategic Consulting
Whistleblower Law
Promissory Note Matters
Compliance Protection
Lawyer Referral Network
Expungement of CRD/BrokerCheck Disclosures
For Investors
For Investors: Overview
Securities Fraud
Breach of Fiduciary Duty
Retirement Planning Negligence
Unauthorized Trading
Lawyer Referral Network
FAQs
News & Articles
News
Articles
Financial Counsel Blog
Videos
Newsletter Signup
Contact

Tagged with "Fraud"

Next »
Page 1 of 8

Philadelphia Man Sued for Fraud

Posted on November 13th, 2020 at 12:27 PM
Philadelphia Man Sued for Fraud

In July 2020, Dean Vagnozzi settled charges brought by the U.S. Securities and Exchange Commission (“SEC”) that alleged that Vagnozzi had sold more than $32 million in unregistered securities offerings and that Vagnozzi acted as an unregistered broker.

Read More »

Eaton Pleads Guilty to Fraud

Posted on October 1st, 2020 at 3:51 PM
Eaton Pleads Guilty to Fraud

Gerald Allan Eaton, a former advisor at Commonwealth Financial Network, settled charges brought by the U.S. Securities and Exchange Commission (“SEC”).

Read More »

New Jersey Man Charged by SEC in Familiar Trading Fraud

Posted on September 11th, 2020 at 2:02 PM
New Jersey Man Charged by SEC in Familiar Trading Fraud

The U.S. Securities and Exchange Commission (“SEC”) has charged RRBB Asset Management, LLC, (“RRBB”) and its president, Carl Schwartz, with fraud. RRBB is based in Maplewood, New Jersey.

Read More »

SEC Charges Adviser with Fraud

Posted on September 9th, 2020 at 11:32 AM
SEC Charges Adviser with Fraud

The U.S. Securities and Exchange Commission (“SEC”) charged Sperry and Sons Capital Investments, LLC, and its principal, Kirk Sperry, with defrauding investors relating to a real estate investment project.

Read More »

Adviser Charged with Fraud by the SEC

Posted on September 4th, 2020 at 11:03 AM
Adviser Charged with Fraud by the SEC

Steven Fitzgerald Brown, the CEO, president and sole owner of Alpha Trade Analytics, Inc., has been charged with fraud by the U.S. Securities and Exchange Commission (“SEC”).

Read More »

The SEC Files Complaint Against Mark Boucher and Strategic Wealth Advisors Group Services

Posted on August 26th, 2020 at 3:18 PM
The SEC Files Complaint Against Mark Boucher and Strategic Wealth Advisors Group Services

The U.S. Securities and Exchange Commission (“SEC”) charged advisor Mark J. Boucher and his company, Strategic Wealth Advisor Group Services, Inc., with fraud.

Read More »

Former Georgia State Legislator Charged with Defrauding Investors

Posted on August 7th, 2020 at 9:28 AM
Former Georgia State Legislator Charged with Defrauding Investors

Clarence Dean Alford, former Georgia State Legislator, has been charged by the U.S. Securities and Exchange Commission (“SEC”) with defrauding investors. The alleged fraud steams from Allied Energy Services LLC, Alford’s now-bankrupt energy development company. 

Read More »

SEC Charges Victor Lee Farias with Fraud

Posted on August 3rd, 2020 at 4:24 PM
SEC Charges Victor Lee Farias with Fraud

The U.S. Securities and Exchange Commission (“SEC”) filed charges against Victor Lee Farias and Integrity Aviation & Leasing, LLC, (“IAL”) alleging that Farias and IAL defrauded investors.  According to the SEC, many of Farias’ victims are retired San Antonio police officers. 

Read More »

Former Morgan Stanley Advisor Pleads Guilty to Fraud

Posted on July 22nd, 2020 at 4:05 PM
Former Morgan Stanley Advisor Pleads Guilty to Fraud

Michael Barry Carter, a former advisor at Morgan Stanley, pleaded guilty to federal charges of wire fraud and investment advisor fraud.  According to the United States Department of Justice (“DOJ”), Carter stole more than $6 million over a period of almost 12 years.  The DOJ said that most of Carter’s victims were senior investors.

Read More »

UBS Sued for Alleged Failure to Supervise Fraud

Posted on May 29th, 2020 at 11:40 AM
UBS Sued for Alleged Failure to Supervise Fraud

UBS has been sued by two theater production companies, Player to be Named Later and Smokey Joe’s Café Broadway Revival, which alleged that the bank’s negligence allowed the theater companies to be defrauded.  According to the Complaint filed in federal court, UBS breached its fiduciary duty and was guilty of negligent supervision.

Read More »

Next »
Page 1 of 8
Latest Articles
FINRA Bars Former Merrill Lynch Advisor
January 26th, 2021 at 3:30 PM
Wells Fargo Shuts Down International Wealth Management Business
January 25th, 2021 at 4:02 PM
Read More »
Latest News
CFP Board is the New Sheriff and it Is Not Your Friend
October 24th, 2020 at 10:04 AM
Defending Against a Customer Complaint First Requires Selecting Correct Legal Counsel
October 15th, 2020 at 10:02 AM
Read More »
Share

Request a Free Consultation

Attorneys are standing by during regular business hours. Call us now for immediate service, or complete the form below and we will contact you as soon as possible.

Your E-mail Address:
 
Chicago
55 West Monroe St.
Suite 610
Chicago, Illinois 60603
(312) 332-0000
(312) 332-0003
New York City
One Liberty Plaza
165 Broadway, 23rd Floor
New York, New York 10006
(312) 332-0000
(312) 332-0003
Boca Raton
2255 Glades Road
Suite 324A
Boca Raton, Florida 33431
(312) 332-0000
(312) 332-0003
2021 © Eccleston Law, LLC.
All Rights Reserved.
The law is continuously changing. Please do not rely on information found on this site without consulting a lawyer to determine if any recent changes in the law may have an impact.