Securities fraud

Approximately $4,500 was used to sponsor a cricket club via a shell company, authorities say.

The cases stem from the investment advice given by a now barred broker, who is accused of soliciting funds for a Miami Beach nightclub he owned.

Robert Cook said wealth management firms "must do their part."

The pro athlete met the adviser through his college business professor, authorities say.

A federal judge issued a restraining order and a temporary asset freeze against the former broker.

The former adviser allegedly pocketed more than $300,000 from trades involving pharmaceutical stocks.

The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.

The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.

The former broker, who pleaded guilty to securities fraud last month, allegedly promised clients returns of up to 15% and used proceeds for personal expenses.

Charles J. Dushek allegedly made trades without designating in advance whether he was trading personal money or client assets.

The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.

Friends and business associates lost $2 million in a Ponzi-like scheme.

One of the sanctioned advisers has 26 disclosure events listed on his FINRA BrokerCheck record while remaining in good standing with Ameriprise.

The RIA owner got insider tips from an attorney drunk on several glasses of wine, according to the SEC.

Nicholas Mitsakos allegedly used the funds to pay his credit card bills and make payments on his Mercedes, authorities charge.

The Massachusetts-based planner, who allegedly told clients their money would be invested in a hedge fund, was also ordered to pay $1.89 million to victims.