Securities fraud

Caleb Fackrell repeatedly called his behavior “insane” in his testimony, according to transcripts obtained by Financial Planning.

The scheme ensnared about 8,400 investors, the regulator says.

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.

Brash and bumbling? Or genuinely caring? Truth and fiction are blurred in depictions of planners in movies and TV shows.

“Ozark,” “Ballers,” “The Wolf of Wall Street” and “Trading Places” are fun to watch, but they bear nearly no resemblance to the day-to-day work of financial advisors.

The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.

The former broker met some of his roughly 60 victims through his associations with the NFL and the University of Virginia, where he also played football, federal prosecutors said.

Bradley Mascho helped Bennett defraud at least 46 investors, including many seniors, the regulator charges.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

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.