Securities fraud

Over a nine-year period, he allegedly defrauded clients of more than $2.1 million.

A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.

The once high-profile RIA owner ran a $20 million Ponzi scheme, federal prosecutors said.

A barred broker told clients the lifestyle media company was about to be acquired, so “they needed to act quickly,” according to the regulator.

Dennis Gibb used client funds to pay for his own business and personal expenses, such as mortgage and car payments.

Clients seeking to recoup some $14 million in damages have received only 12% of their total claims, according to an SEC-appointed receiver.

Listening to a customer service call produced a big surprise. It also showed how firms can take one position to fight complaints in private, but another in public.

Christopher Dougherty’s proferred investments allegedly included real estate properties and a 100-acre organic farm.

Frederick McDonald Jr. is accused of failing to disclose key risk factors regarding the complex world of the cannabis manufacturing industry.

Chuck Person persuaded student-athletes to form illegal business relationships with at least one financial advisor.

The ex-advisor and self-described "Money Doctor" solicited older clients on his radio shows, the regulator says.

The advisor and his alleged co-conspirators made $5 million in illicit profits off misappropriated information, according to prosecutors.

Forty-seven investors, some over the age of 63, were among the victims.

Thomas Buck misled clients in order to charge them excessive commissions, according to federal prosecutors.

The former broker bilked more than a dozen former clients over an eight-year period, prosecutors said.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.

Investigators say the onetime FiNet branch manager preyed on “particularly vulnerable” clients, including several with dementia.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.

The clients say their advisor improperly invested their funds in a Miami Beach nightclub that failed.