Securities fraud

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.