INVESTORS: The SEC obtained a default judgment against former broker and investment adviser for defrauding at least ten investors out of at least $458,000. On[...]
Investment Loss Investigations
INVESTORS: The SEC charged a former New Jersey broker and investment adviser with misappropriating at least $680,000 from clients. On March 14, 2022, the SEC[...]
INVESTORS: FINRA censured and fined Colorado-based broker-dealer Geneos Wealth Management for alleged failures in supervising its registered representatives’ recommendations. FINRA censured and fined a Colorado-based[...]
INVESTORS: The Kentucky Teachers’ Retirements System sold off its direct investment in a Russian bank the day before Russia invaded Ukraine, losing more than $3M.[...]
Sonn Law Group is Investigating Allegations of a $300M Ponzi Scheme Operated by Attorney Matthew Beasley Las Vegas attorney Matthew Beasley is under investigation by[...]
INVESTORS: Registered Investment Adviser Cambridge Investment Research Advisors was charged by the SEC with failing to disclose conflicts arising from mutual fund and account recommendations.[...]
INVESTORS: Former broker Joseph DeGregorio was charged by the SEC with defrauding several elderly clients of more than $1 million over a period of five[...]
INVESTORS: Investment Adviser Bell Rock Capital and its principal, M. Cassandra Toroian were charged by the SEC with operating a multi-year cherry-picking scheme that defrauded[...]
INVESTORS: Investment Adviser Arthur S. Hoffman was charged with fraud by the SEC following allegations of failure to disclose financial conflicts of interest. On February[...]
INVESTORS: The SEC charged Safeguard Metals, LLC and its owner Jeffrey Santulan for engaging in a multi-million dollar fraudulent scheme that reportedly targeted retirees. The[...]