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.