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Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.August 9
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After a booking error by an advisor, a client barely avoided being taxed on $500,000 and dodged more than $200,000 in taxes and penalties.July 19
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Under the firm's CEO, who is also its chief compliance officer, the alleged scheme continued undetected for seven years, the SEC says.April 1
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“The more ties you cut, the better — auditors like to see a moving van and an itemized list of what was moved,” one lawyer says.March 5
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Even the best clients in the most appropriate investments can panic when they’re watching their hard-earned savings shrink on a daily basis.January 28
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There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.January 7
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The Supreme Court recently reversed an appeals court ruling on what constitutes “money remuneration.”September 28
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The court ruling largely wiped out the widow’s portion of a Dallas jury’s $8 billion verdict against the bank for mismanaging the family estate.August 3
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The advisor defrauded some 60 victims by using their money to pay off earlier investors, fund his own speculative trading and pay his personal expenses, the SEC claims.July 5
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The Tax Court rules that creditors must have hard evidence that an obligation is uncollectable before they deduct it.June 15
