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Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.
October 31
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Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.
October 23
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Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.
October 18
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Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.
October 6
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What led Louis Martin Blazer III to cooperate with federal prosecutors?
September 29
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Louis Martin Blazer is a "cooperating witness" in the federal case targeting corruption in college basketball.
September 27
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The advisor targeted clients he obtained at Social Security seminars, according to prosecutors.
September 26 -
The advisor allegedly tried to help keep a penny stock's price above $2 per share, amassing nearly 630,000 shares himself.
September 20
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The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.
September 7
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The advisor was accused of stealing more than $1 million from his clients to pay for golf course fees, tanning salons and other personal expenses.
September 7
