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Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.
October 31
- Finance and investment-related court cases
A former vice president in the private wealth management group claims she was fired for investigating suspicions that a client might be involved in fraud or money laundering.
October 31
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Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.
October 23
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Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.
October 18
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Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.
October 6
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Stockholders had alleged “false and misleading” financial statements.
October 4
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What led Louis Martin Blazer III to cooperate with federal prosecutors?
September 29
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Recent criminal charges parallel another case brought by the SEC against the broker.
September 28
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Louis Martin Blazer is a "cooperating witness" in the federal case targeting corruption in college basketball.
September 27
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The advisor targeted clients he obtained at Social Security seminars, according to prosecutors.
September 26
