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Following a plea agreement, Bradley Mascho is sentenced for his role in defrauding investors of more than $20 million.
September 6 -
Over a nine-year period, he allegedly defrauded clients of more than $2.1 million.
September 4 -
A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.
August 8 -
The once high-profile RIA owner ran a $20 million Ponzi scheme, federal prosecutors said.
August 1 -
The Ladenburg IBD failed to spot the red flags of a barred ex-advisor who later pleaded guilty to fraud, former clients say.
April 3 -
The advisor and his alleged co-conspirators made $5 million in illicit profits off misappropriated information, according to prosecutors.
March 4 -
Forty-seven investors, some over the age of 63, were among the victims.
February 27 -
Thomas Buck misled clients in order to charge them excessive commissions, according to federal prosecutors.
February 15 -
The former broker bilked more than a dozen former clients over an eight-year period, prosecutors said.
February 14 -
Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.
January 24