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Tagged with "Fraud"

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Page 1 of 9

Former Morgan Stanley Advisor Sentenced to 5 Years for Fraud

Posted on April 1st, 2021 at 9:34 AM
Former Morgan Stanley Advisor Sentenced to 5 Years for Fraud

Michael Barry Carter is going to prison after stealing at least $6.15 million from clients to fund his lifestyle.

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Former Merrill Broker Pleads Guilty to $3 Million Wire Fraud

Posted on March 23rd, 2021 at 12:39 PM
Former Merrill Broker Pleads Guilty to $3 Million Wire Fraud

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.

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FINRA Issues Warning of Fraud Linked to Low-Priced Securities

Posted on February 12th, 2021 at 7:46 AM
FINRA Issues Warning of Fraud Linked to Low-Priced Securities

The Financial Industry Regulatory Authority (FINRA) warns of potentially fraudulent activity involving low-priced securities offerings.

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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.

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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”).

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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.

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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.

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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”).

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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.

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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. 

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