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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
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After Brooklynn Chandler Willy recommended that the clients invest $100,000 into an LLC, its principals were arrested on federal fraud charges, the filing says.
May 20
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The giant retirement plan recordkeeper’s BD didn’t adequately file suspicious activity reports for more than three years, according to investigators.
May 18
