Securities fraud

Chuck Person persuaded student-athletes to form illegal business relationships with at least one financial advisor.

The ex-advisor and self-described "Money Doctor" solicited older clients on his radio shows, the regulator says.

The advisor and his alleged co-conspirators made $5 million in illicit profits off misappropriated information, according to prosecutors.

Forty-seven investors, some over the age of 63, were among the victims.

Thomas Buck misled clients in order to charge them excessive commissions, according to federal prosecutors.

The former broker bilked more than a dozen former clients over an eight-year period, prosecutors said.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.

Investigators say the onetime FiNet branch manager preyed on “particularly vulnerable” clients, including several with dementia.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.

The clients say their advisor improperly invested their funds in a Miami Beach nightclub that failed.

James Polese and another advisor used the funds to pay bills and cover kids’ college tuition, according to the Department of Justice.

Richard G. Cody, formerly of Boston Investment Partners, allowed his clients’ accounts to dwindle to almost nothing, according to the Justice Department.

Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.

Ex-advisor Dawn Bennett, who allegedly dabbled in voodoo-type witchcraft, was found guilty by a federal jury of defrauding investors.

Edward Lee Moody used the stolen proceeds to buy a home and travel to Las Vegas among other destinations.

Darrell Smith stole $2.4 million from his clients to fund bio-energy companies.

Love or hate Bitcoin and other cryptocurrencies, Ric Edelman says advisors still must prepare to help clients invest in a "cashless future."

The scheme involved paying cash kickbacks to a former Barclays and Stifel advisor who worked on the wealth syndicate desk.

John Gregory Schmidt allegedly devised a 14-year scheme that straddled his time with Stifel and Wells Fargo.