-
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
