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While the pandemic slowed down investigations and court cases, state regulators continued to chase financial scamsters, data shows.
September 29 -
A new report from PIABA says independent advisors are as bad as brokers when it comes to cheating investors and paying awards.
September 29 -
Brokerages that want to hire someone with a checkered past have to undergo a “consultation” with the watchdog and may have to try to renew their memberships.
September 2 -
‘Millions unaccounted for’ in an alleged 10-year fraud as court freezes assets of dually registered planner and his fund.
August 26 -
Defense cites a heart condition caused by a Brazilian parasite as a reason for lesser time.
August 16 -
Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.
July 22 -
FINRA arbitrators decided not to hold the major custodian liable for transactions prior to 2008, an attorney for the clients says.
July 15 -
John Robert Jones Jr. is accused of convincing two dozen financiers to invest in two private unregistered funds with false promises of growth and limited risk.
July 9 -
Former clients of Isaiah L. Goodman shared the financial losses and other harmful impact of the $2.3-million scheme.
July 6 -
The Advisor Group IBD missed 55 alerts suggesting suspicious disbursements by clients of Hector May, according to the SEC.
July 1