Financial crimes

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.

Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.

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.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.

Stockholders had alleged “false and misleading” financial statements.

What led Louis Martin Blazer III to cooperate with federal prosecutors?

Recent criminal charges parallel another case brought by the SEC against the broker.

Louis Martin Blazer is a "cooperating witness" in the federal case targeting corruption in college basketball.

The advisor targeted clients he obtained at Social Security seminars, according to prosecutors.

The advisor allegedly tried to help keep a penny stock's price above $2 per share, amassing nearly 630,000 shares himself.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.

The advisor was accused of stealing more than $1 million from his clients to pay for golf course fees, tanning salons and other personal expenses.

The defendants profited more than $3 million by trading before and after mergers and acquisitions were announced, according to U.S. prosecutors.

The broker persuaded clients to write checks payable to him, the regulator claims.