Michael Barry Carter is going to prison after stealing at least $6.15 million from clients to fund his lifestyle.
Michael Barry Carter is going to prison after stealing at least $6.15 million from clients to fund his lifestyle.
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.
The Financial Industry Regulatory Authority (FINRA) warns of potentially fraudulent activity involving low-priced securities offerings.
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.
Gerald Allan Eaton, a former advisor at Commonwealth Financial Network, settled charges brought by the U.S. Securities and Exchange Commission (“SEC”).
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.
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.
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 U.S. Securities and Exchange Commission (“SEC”) charged advisor Mark J. Boucher and his company, Strategic Wealth Advisor Group Services, Inc., with fraud.
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.