San Diego Securities Lawyers: Merrill Lynch Veteran Pleads Guilty to $8.7M Bank Fraud
Jeffrey Kluge, a 25 year veteran of Merrill Lynch based in St. Paul, Minneapolis, plead guilty to two counts of…
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Broker Barred for Steering Clients to Ponzi Scheme
The White House is not the only place where “fake news” is the big problem [...]
Read MoreNot So Fast My Friend: Raymond James Suspends Manager Frank Amigo Following Testimony In EB-5 Fraud Case
In 2016, the Securities and Exchange Commission announced fraud charges against [...]
Read MoreFINRA Expels Red River Securities
A recent decision by a federal appellate court has cast doubt on whether decisions by SEC administrative judges are [...]
Read MoreREGISTERED INVESTMENT ADVISERS CHARGED WITH STEALING FROM CLIENTS, INCLUDING MIKE TYSON
Two recent instances of RIA’s stealing from clients [...]
Read MoreASH NARAYAN, FORMERLY OF RGT WEALTH ADVISORS, SUSPENDED BY CFP BOARD
The Certified Financial Planning Board of Standards has temporarily suspended [...]
Read MoreSECURITIES AND EXCHANGE COMMISSION REVOKES ASH NARAYAN FROM SECURITIES INDUSTRY
Last week, the Securities and Exchange Commission revoked [...]
Read MoreEX LPL BROKER BARRED BY SECURITIES AND EXCHANGE COMMISSION
The SEC recently barred a broker who had been licensed [...]
Read MoreWELLS FARGO WINS $1M FROM DISCHARGED BROKER
In yet another loss to a broker litigating an upfront note case by claiming [...]
Read More“Whiz Kid” Settles Fraud Claims with SEC for $1.5 Million
In 2014, the Securities and Exchange Commission warned investors that investment newsletters can be used as a means to perpetrate…
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