-
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
-
Commission prioritizes retail investors as OCIE issues its must-read compliance letter.
February 8
-
The stolen funds allegedly went to pay for college expenses and credit card bills, according to federal prosecutors.
January 31
-
Texas securities watchdog derided the advisor for not considering the costs associated with an equity trading strategy he employed for certain clients.
January 31
-
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
-
Investigators say the broker spent his clients’ money on luxury cars and home improvements.
January 24
-
The convicted fraudster allegedly stole more than $270,000 from his victims, including his mother and ex-girlfriend.
January 22
-
Wells may have settled with former employee Claudia Ponce de Leon because it wanted to avoid the "massive exposure" of a jury trial, an expert says. It is unclear how the agreement will affect Wells’ other cases.
January 20
