Author: D. Daxton White
Dennis Wright charged by SEC over alleged Ponzi scheme.
According to reports, the Securities and Exchange Commission has charged a former AXA Advisors broker, Dennis Wright, with running a...
Cornerstone REIT Gets a New Name
According to SEC records, another Cornerstone REIT has undergone a name change. Cornerstone Core Properties REIT is now called Summit...
Stockbroker Fraud in Pennsylvania
According to the Pocono Record, a former Pennsylvania stockbroker has plead guilty to mail fraud. The charges against Joseph R. Gallardo...
WFG Investments Faces Hefty Fine
According to InvestmentNews, the Dallas based broker-dealer, WFG Investments Inc., is facing a “global fine” that could cost...
Texas Broker Jailed for Ponzi Scheme
According to FA-Mag.com, former Texas broker, William Charlton Mays IV, has been sentenced to 20 years for fraud and 10 years for theft in...
Merrill Lynch Advisors Asked to Resign
According to InvestmentNews, Bank of America Merrill Lynch asked two veteran advisors, James Goetz and Stephen Brown, to resign for...
