-
Joel N. Burstein allegedly helped his father-in-law defraud foreign investors hoping to immigrate to the U.S.
September 7
-
Five fired and barred former registered reps stole more than $1 million from clients over a four-year period, according to the regulator.
August 15
-
The barred onetime Questar Capital and Woodbury Financial rep had pleaded guilty to the scam, which he says stemmed from a gambling addiction.
August 1
-
The funds allegedly paid for summer camp fees and a 1976 Corvette.
July 25
-
Company policies were not reasonably designed to detect and prevent misconduct, the SEC claims after one advisor allegedly misappropriated more than $5 million from client accounts.
June 29
-
“Our whistle-blower program is a critical component in our investor-protection toolbox,” SEC Chairman Jay Clayton says.
June 29
-
Former San Diego Chargers guard Kris Dielman says the independent broker dealer failed to supervise his former advisor.
June 27
-
A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.
June 27
-
Advisors recommended that clients sell positions in complex structured products to rack up fees, says the regulator.
June 26
-
Other states are likely to enter similar agreements with the broker-dealer.
June 13
