-
The case marks the firm’s second in a month, but its special investigations unit helped crack it.
August 25
-
The magnate's fallen empire included RCS Capital, the onetime parent of Cetera Financial Group.
June 30
-
He confessed months after he was caught with 136 pounds of marijuana, investigators say.
June 6
-
The investor received 15 months in prison after pleading guilty to wire fraud.
June 1
-
The pro athlete met the adviser through his college business professor, authorities say.
May 30
-
A federal judge issued a restraining order and a temporary asset freeze against the former broker.
March 28
-
The former adviser allegedly pocketed more than $300,000 from trades involving pharmaceutical stocks.
March 21
-
The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.
March 17
-
The transactions cost the client $575,000 in fees and lost dividend payments, according to FINRA.
March 1
-
“It starts out small,” the advisor told his compliance officer, authorities say. “You think you are going to pay it back.”
February 24 -
The adviser used the money to fund his “lavish lifestyle,” including $1.6M for private jet services, according to authorities.
February 9
-
Michael J. Breton admitted to using master accounts from Fidelity and Schwab to take winning investments for himself, while giving clients the losers, the Department of Justice says.
January 26
-
The advisor paid $50,000 to a widow's lawyer to refer her $100 million account to him – a fact he failed to disclose to the client, the agency claims.
January 10
-
An ex-American Realty Capital executive allegedly overstated a key accounting metric by roughly $13 million, according to the SEC and federal prosecutors.
September 8
-
"His lies, piled on one after another, have led to today’s substantial and serious charges," U.S. Attorney Peter Neronha said.
July 7
