Insights
August 14, 2015
Bryan Anderson, a former broker from Hoover, Alabama, was sentenced yesterday to seven years and three months in federal prison after pleading guilty to operating a Ponzi scheme that defrauded investo...
August 6, 2015
The SEC called for an emergency asset freeze on two accounts, which hold assets of approximately $2 million. The brokerage accounts hold ill-gotten proceeds from a fraudulent EDGAR filing. The SEC tra...
August 4, 2015
Robert Keith Smith, formerly a broker with Berthel Fisher, has been accused by more than ten of his clients throughout his career of overconcentrating their accounts in private placement securities, i...
August 4, 2015
The SEC charged a brokerage firm, Macquarie Capital Inc., for underwriting a public offering after receiving a due diligence report signifying that a China-based company’s offering materials contained...
July 21, 2015
Broker-Dealers Fined for Bond Trades Violations The SEC charged nearly two dozen companies and individuals who bought and sold securities for a Chicago-based trading firm without registering as a brok...
July 21, 2015
A Miami broker defrauded investors by siphoning money from retirees’ investments through a Ponzi scheme. The SEC alleges the adviser conducted a Ponzi scheme with money he raised for the Sterling Inve...
July 17, 2015
The SEC’s Office of Investor Education and Advocacy cautions investors to research the credentials of financial professionals before trusting that person with investment money. This precautionary inve...
May 12, 2015
Financial Industry Regulatory Authority Investigating National Securities Broker FINRA has filed a complaint against broker Vito Balsamo alleging that Balsamo was “selling away” ownership ...
April 3, 2015
New York City comptroller Scott M. Stringer is pushing the state legislature to pass a law that would clarify the distinction between brokers and investment advisers to investors. Stringer’s pro...
March 30, 2015
Alabama Resident Pleads Guilty In Ponzi Scheme Case Over a five year span, former Hoover, Alabama financial broker Bryan Anderson found eighteen people to invest $8.4 million in a number of investment...
March 17, 2015
SEC Set to Create Fiduciary Rules for Brokers SEC Chair Mary Jo White stated that the agency will create stricter rules for broker. By doing so, the SEC will enter a long-standing war between Wall Str...
March 4, 2015
Alabama stockbroker and supervisor Terry Bagwell submitted a Letter of Acceptance, Waiver, and Consent (“AWC”), accepting and consenting to FINRA’s findings that he violated the regulatory authority’s...
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