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Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.
July 22
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The managing director was arrested for two domestic violence incidents over a three-week period.
July 16
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FINRA arbitrators decided not to hold the major custodian liable for transactions prior to 2008, an attorney for the clients says.
July 15
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John Robert Jones Jr. is accused of convincing two dozen financiers to invest in two private unregistered funds with false promises of growth and limited risk.
July 9
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Former clients of Isaiah L. Goodman shared the financial losses and other harmful impact of the $2.3-million scheme.
July 6
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The Advisor Group IBD missed 55 alerts suggesting suspicious disbursements by clients of Hector May, according to the SEC.
July 1
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The Internal Revenue Service is focusing on cryptocurrency tax evasion with virtual currencies like Bitcoin and nonfungible tokens, employing data analytics to uncover transactions that crypto users assumed were hidden.
June 25
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The judge declined the barred rep’s request for sentence reduction based on his “severe” bipolar disorder and restitution efforts.
June 4
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The barred ex-rep funneled clients’ money into a shell company he falsely called a sub advisor, according to investigators.
June 4
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The barred ex-Mutual of Omaha rep stole from 27 mostly older fellow members of his church, YMCA and local business organizations, investigators say.
June 4
