The U.S. Attorney’s Office for the Southern District of Indiana has announced the indictment of independent adviser, Kenneth Ray Cleveland, 63, of Agoura Hills, California with seven counts of wire fraud and three counts of money laundering.
Tagged with "NFL"
Page 1 of 1
Adviser Swindled $4.5 Million From a Former NFL Player to Pay Personal Expenses
Posted on July 13th, 2017 at 10:27 AM
Quad Cities Real Estate Developer Pleads Guilty to Investment Fraud Scheme
Posted on June 20th, 2017 at 9:32 AM
Rock Island, Illinois, businessman Todd B. Raufeisen, entered guilty pleas to one count each of wire fraud and money laundering in a U.S. District Court in Illinois.
FINRA Proposes to Add a BrokerCheck Alert on High-Risk Firms
Posted on June 15th, 2017 at 9:24 AM
FINRA’s board has proposed adding an “alert” to the BrokerCheck report of member firms that employ a large percentage of brokers who previously worked for high-risk firms.
FINRA Fines Former Sterne Agee Rep for Transactions Involving Variable Annuities
Posted on June 14th, 2017 at 1:30 PM
FINRA has suspended former Sterne, Agee & Leach rep, James Keith Cox, for four months and fined him $10,000 for violating FINRA rules regarding transactions involving variable annuities.
NFL Running Back Darren McFadden Sues Ameriprise For Fraud
Posted on June 13th, 2017 at 2:59 PM
Current Dallas Cowboy running back, Darren McFadden, who sued his former advisor, Michael E. Vick, last June for misappropriating $15 million, has decided to sue the advisor’s firm, Ameriprise Financial.
Page 1 of 1