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Mario Rivero pleaded guilty in February to swindling five clients out of more than $600,000.
August 24 -
A lawyer representing Keith Todd Ashley argues prosecutors overreached in arguments used to obtain life sentence against his client.
August 23 -
Clients — and financial advisors — should ask these three questions when asked to divulge their Social Security number.
August 18Trua -
The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.
July 5 -
The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.
June 29 -
A 2018 law protects wealth managers who report scams against seniors — but it can only help them if they're aware of it.
June 16 -
Former Goldman partner Adam Dell, 53, was accused of sending graphic footage of himself to a junior staffer in 2020.
June 16 -
The former relationship manager has pleaded not guilty to allegations he blew money from client accounts on bad stock bets.
June 9 -
The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.
June 8 -
Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.
June 7