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Investors were bilked out of approximately $611,000, say federal prosecutors.
March 15 -
The advisor lured the client into investing $100,000 in what he claimed was a private placement bond but instead deposited the money into his personal bank account, say federal prosecutors.
February 27 -
Spanning 50 federal districts, the case involves criminal and civil charges for as many as 200 defendants.
February 27 -
The advisor fleeced the duo of nearly $1 million by misappropriating their stock holdings and initiating unauthorized wire transfers from their bank account, prosecutors allege.
February 26 -
The advisor tricked investors into thinking they would get their money back, with a return, in four to eight years, but they haven't seen a penny returned, the Massachusetts regulator claimed.
February 15 - Finance and investment-related court cases
The barred advisor and his brother defrauded a widow as part of a real estate investment scheme, according to federal prosecutors.
February 8 -
The former First Tennessee Bank adviser defrauded numerous customers to satisfy a gambling addiction that started when he was in college, according to court documents.
June 20