The firm that did business as Federal Employee Benefit Counselors allegedly made hundreds of fraudulent VA sales to federal employees.

The clearing brokerage and custodian to Naseem Salamah’s former RIA employer has provided restitution to the three “elderly” victims, records show.

The unregistered financial advisor’s crimes became only the latest example of how securities cases can spill over into substance abuse and violence.

A widow alleged that an imprisoned ex-financial advisor’s enterprise pursued “a malicious campaign” against her after she fell victim to his scheme.

Barred ex-broker Louis Cook allegedly targeted older adults whose assets he promised to protect for long-term care.

David W. Schamens defrauded clients for $6.8 million in a Ponzi scheme despite being banned by the SEC decades earlier, according to investigators.

OU’s law school enlisted a former player from one of its fiercest rival schools to help students understand how to avoid the pitfalls of misconduct.

German Nino concealed fraud losses totaling $5.8 million through fake account statements and other doctored documents, investigators say.

The combination of technology and rising client interest in digital assets are ratcheting up the risks to investors, according to NASAA.

The wirehouse reached an agreement with an SEC-appointed receiver and a state regulator in connection with a massive EB-5 investment scheme.