The Securities and Exchange Commission has recently charged former Ernst & Young Entrepreneur of the Year Claudio Osorio with misleading investors as well as misappropriating[...]
Investment News
Investment News reports that FINRA is investigating half a dozen independent broker-dealers that sold variable annuities with subaccounts invested in hedge funds that resulted in[...]
A Tenant in Common (“TIC”) investment is an inherently problematic and risky real estate ownership arrangement in which two or more persons or entities own[...]
Donald R. French Jr. Is being accused by federal authorities for allegedly perpetrating a four year long ponzi scheme in which he was able to[...]
The Financial Industry Regulatory Authority (FINRA) has announced an $800,000 fine to Guggenheim Securities for “failing to supervise two collateralized debt obligation (CDO) traders who[...]
The Securities and Exchange Commission is charging Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry Condron with allegedly committing an $18.7 million illegal trading scheme[...]
Bernie Madoff gets a bad rap. Sure, he may be in prison for the rest of his life for stealing billions in a notorious Ponzi[...]
Summit Wealth Management, Inc. as well as its President Angelo A. Alleca, are being sued by the SEC. The SEC is alleging that Alleca, through[...]
The Securities and Exchange Commission has charged J.P. Turner with churning which was conducted by three former brokers of the firm. The complaint alleges that[...]
Federal prosecutors alleged that a Palm Beach Gardens Broker stole over $500,000 from 13 clients utilizing a mail fraud scheme. The scheme allegedly took place[...]