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Joel N. Burstein allegedly helped his father-in-law defraud foreign investors hoping to immigrate to the U.S.
September 7
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An advisor kept working with clients, and impersonated others on phone calls with Schwab, the SEC says.
September 6
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The broker, Michael Siva, was one of seven people charged with securities fraud last year.
September 5
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Robert Graham allegedly solicited clients into risky investments, which he directed to his private company. He is the ex-chief of the Arizona Republican Party.
August 29
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Investment firm blamed fat finger error for 90% decline when losses were really due to poor trading.
August 27
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The client relationship manager is now on a leave of absence, according to Merrill.
August 23
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The advisor used about $410,000 to pay back investors in Ponzi-like fashion to keep the scheme alive, the regulator says.
August 10
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An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.
August 7
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Confidential emails reveal a top Wells Fargo advisor’s despair after he cried fraud. He could stay at Wells if he was silent, but spoke up anyway — and became a whistleblower.
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The barred onetime Questar Capital and Woodbury Financial rep had pleaded guilty to the scam, which he says stemmed from a gambling addiction.
August 1
