Financial crimes

The former broker met some of his roughly 60 victims through his associations with the NFL and the University of Virginia, where he also played football, federal prosecutors said.

Bradley Mascho helped Bennett defraud at least 46 investors, including many seniors, the regulator charges.

He intercepted checks from her home when she wasn’t there and forged her signature to steal her money, investigators say.

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.

The violations, which occurred from January 2009 through May 2017, affected approximately 95% of the firm's non-registered employees, according to FINRA.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

Jurors in New York federal court awarded Jennifer Sharkey $563,000 in back pay and $563,000 for emotional damage.

Lies about being in contact with clients were the real reason the whisteblower was fired, according to a defendant and key witness for the bank.