Fraud
Fraud
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Adam and Daniel Kaplan kept getting jobs at RIAs despite the disturbing allegations that led to their firings at other firms.
March 8 -
JPMorgan Chase alleges in a lawsuit that the college-planning website Frank provided misleading information before the bank bought it. Experts say there were plenty of red flags from the beginning.
January 27 -
The former broker's last-ditch effort to convince a former friend and victim that his money was secretly invested and doing well only led to more charges.
January 19 -
On many unregulated cryptocurrency exchanges, wash sales may be highly inflating stated volume, according to a recent study.
January 4 -
Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.
December 26 -
Bradley Goodbred allegedly defrauded a widow in her 90s through a real estate investment scheme, the latest example of a rising number of scams targeting seniors.
December 7 -
An attorney for Keith Todd Ashley said he plans to appeal his fraud conviction and plead not guilty to capital homicide.
November 1 -
The firm's latest supervisory case involving its oversight of former brokers comes as regulators and client attorneys have more tools under the 2-year-old rule.
October 31 -
Securities America has paid more than $15 million in an SEC case and settlements with the fraud victims of Hector May and his daughter, Vania May Bell.
October 20 -
A basic scam victimizing a client who has since been diagnosed with dementia evaded any red flags for eight years, according to the SEC.
October 5