Securities fraud

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.

What led Louis Martin Blazer III to cooperate with federal prosecutors?

Louis Martin Blazer is a "cooperating witness" in the federal case targeting corruption in college basketball.

The advisor targeted clients he obtained at Social Security seminars, according to prosecutors.

The advisor allegedly tried to help keep a penny stock's price above $2 per share, amassing nearly 630,000 shares himself.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.

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.

The broker persuaded clients to write checks payable to him, the regulator claims.

The firm allegedly profited $14 million by fabricating performance records.

Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.

David Bahnsen told the president that that Milken’s prosecution was a result of “a period of class envy run amok.”

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

The case marks the firm’s second in a month, but its special investigations unit helped crack it.

The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

The advisors collected $1.7 million by fraudulently pushing variable annuities, investigators say.