Michael Barry Carter is going to prison after stealing at least $6.15 million from clients to fund his lifestyle.
Tagged with "Fraud"
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Former Merrill Broker Pleads Guilty to $3 Million Wire Fraud
Posted on March 23rd, 2021 at 12:39 PM
Marcus Boggs, who spent 12 years with Merrill, admitted he stole more than $3 million from multiple clients for personal expenses, including luxury hotel stays and expensive dinners.
FINRA Issues Warning of Fraud Linked to Low-Priced Securities
Posted on February 12th, 2021 at 7:46 AM
The Financial Industry Regulatory Authority (FINRA) warns of potentially fraudulent activity involving low-priced securities offerings.
Philadelphia Man Sued for Fraud
Posted on November 13th, 2020 at 12:27 PM
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.
Eaton Pleads Guilty to Fraud
Posted on October 1st, 2020 at 3:51 PM
Gerald Allan Eaton, a former advisor at Commonwealth Financial Network, settled charges brought by the U.S. Securities and Exchange Commission (“SEC”).
New Jersey Man Charged by SEC in Familiar Trading Fraud
Posted on September 11th, 2020 at 2:02 PM
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.
SEC Charges Adviser with Fraud
Posted on September 9th, 2020 at 11:32 AM
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.
Adviser Charged with Fraud by the SEC
Posted on September 4th, 2020 at 11:03 AM
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”).
The SEC Files Complaint Against Mark Boucher and Strategic Wealth Advisors Group Services
Posted on August 26th, 2020 at 3:18 PM
The U.S. Securities and Exchange Commission (“SEC”) charged advisor Mark J. Boucher and his company, Strategic Wealth Advisor Group Services, Inc., with fraud.
Former Georgia State Legislator Charged with Defrauding Investors
Posted on August 7th, 2020 at 9:28 AM
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.
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