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Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors
December 17 -
The cases are among a series of such obstacles UBS has faced since the start of the financial crisis, including a $1.5 billion fine in 2012 for rigging the Libor benchmark.
November 9 -
Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.
November 6 -
Ex-advisor Dawn Bennett, who allegedly dabbled in voodoo-type witchcraft, was found guilty by a federal jury of defrauding investors.
October 17 -
Darrell Smith stole $2.4 million from his clients to fund bio-energy companies.
October 12 -
Melvin Leonard Wimmer Jr. is said to have bilked clients out of their retirement savings.
October 3 -
The case offers a new look at decisions made inside one of the nation’s largest home lenders before the financial crisis, and the evidence that executives saw of mounting trouble.
August 1 -
The barred onetime Questar Capital and Woodbury Financial rep had pleaded guilty to the scam, which he says stemmed from a gambling addiction.
August 1 -
Vitaly Korchevsky was convicted of pocketing at least $14 million by trading securities on information he gleaned from press releases stolen by Ukrainian hackers before they were released publicly.
July 9 -
Scott Wolas assumed other people’s names to pose as a real estate agent, bartender, retired paleontologist and a registered rep, investigators say.
July 5