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Vitaly Korchevsky was actually among the victims in a plot involving Ukrainian hackers who allegedly stole thousands of press releases before they were released, his lawyer says.
July 6
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Scott Wolas assumed other people’s names to pose as a real estate agent, bartender, retired paleontologist and a registered rep, investigators say.
July 5
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The advisor defrauded some 60 victims by using their money to pay off earlier investors, fund his own speculative trading and pay his personal expenses, the SEC claims.
July 5
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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
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DaRayl Davis spent client funds on a luxury mansion, theater tickets and car rentals, federal prosecutors say.
June 29
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Former San Diego Chargers guard Kris Dielman says the independent broker dealer failed to supervise his former advisor.
June 27
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A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.
June 27
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The lawsuit follows a complaint by the SEC alleging that five men and three companies defrauded more than 600 investors.
June 27
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Advisors recommended that clients sell positions in complex structured products to rack up fees, says the regulator.
June 26
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Prosecutors are presenting evidence of his training in securities markets to show that he'd likely know the information was purloined.
June 20
