Securities fraud

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.

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.