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The wire fraud charge came nearly four years after the CFP Board revoked his certification.
November 17
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Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.
October 6
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Recent criminal charges parallel another case brought by the SEC against the broker.
September 28
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The case marks the firm’s second in a month, but its special investigations unit helped crack it.
August 25
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The move will streamline investigations and standardize sanctions, the regulator says.
July 26
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Regulators now use deeper dives into specific areas rather than broad probes, experts say.
June 21
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He confessed months after he was caught with 136 pounds of marijuana, investigators say.
June 6
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He concealed 300 transactions over two years while raking in millions of dollars, investigators say.
June 2
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The investor received 15 months in prison after pleading guilty to wire fraud.
June 1
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Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.
May 23
