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A recent scam involved a fake signature from FINRA CEO Robert Cook.
February 16
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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
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Thomas Buck spent 33 years with Merrill Lynch before he was fired in 2015.
February 14
- 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
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Commission prioritizes retail investors as OCIE issues its must-read compliance letter.
February 8
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The stolen funds allegedly went to pay for college expenses and credit card bills, according to federal prosecutors.
January 31
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Texas securities watchdog derided the advisor for not considering the costs associated with an equity trading strategy he employed for certain clients.
January 31
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The stolen funds went to pay for his daughter’s college expenses and to reimburse other clients, according to federal prosecutors.
January 31 -
The former Edward Jones broker wanted to get back at his competitor for stealing a client.
January 25
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Investigators say the broker spent his clients’ money on luxury cars and home improvements.
January 24
