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The cases stem from the investment advice given by a now barred broker, who is accused of soliciting funds for a Miami Beach nightclub he owned.
June 14
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Robert Cook said wealth management firms "must do their part."
June 12
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He confessed months after he was caught with 136 pounds of marijuana, investigators say.
June 6
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The pro athlete met the adviser through his college business professor, authorities say.
May 30 -
On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.
April 20
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Charles Banks pleaded guilty to wire fraud related to loan refinancing for sports merchandising venture Gameday Entertainment.
April 4
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A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.
April 3
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A federal judge issued a restraining order and a temporary asset freeze against the former broker.
March 28
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The former adviser allegedly pocketed more than $300,000 from trades involving pharmaceutical stocks.
March 21
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The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.
March 17
