Author: D. Daxton White
Cadaret Grant fined over variable annuity sales.
Cadaret Grant, one of the nation’s largest independent broker-dealers, was recently fined by FINRA and ordered to pay a $200,000 fine, as...
Somerset County Financial Advisor Sentenced to Prison for Ponzi Scheme
It is being reported that Jeffrey A. Wicks, a financial advisor in Somerset County, has been ordered to spend 90 days in jail for a Ponzi...
Kalamazoo, Michigan Advisor Joseph Fabian Sentenced to Prison
According to reports, Joseph Fabian, a financial advisor from Gobles, Mich., was sentenced to 92 months in prison for defrauding 30 clients...
A&O Companies Ponzi Scheme Comes To Light
According to reports, David L. Olson of Lakeland, Fla. will plead guilty of conspiracy, mail fraud, wire fraud, securities fraud and money...
Former LPL Financial Advisor Elliot Kravitz Pleads Guilty to Fraud
According to the Cincinnati Business Courier, Elliot Kravitz, a financial advisor in Mason, Ohio, recently pleaded guilty to one count of...
