Blog
Update on UBS Puerto Rico Fund Fraud Investigation
According to recent reports, the numbers are in: apparently the UBS Puerto Rico funds lost a total of $1.66 billion in the first nine...
Connecticut CPA and Former Broker Named in Securities Fraud Complaint
The Connecticut Department of Banking alleges that Certified Public Accountant (CPA) and former broker James E. Neilsen sold approximately...
Massachusetts Former Broker Defrauds Elderly Clients
According to SalemNews.com, an administrative complaint against former broker, John Michael Babiarz, by the Securities Division of...
Rogue Brokers Allegedly Cost Elderly Investor $1.6 Million
According to the Wall Street Journal, the Massachusetts State Securities Regulator is going after Brookville Capital Partners and two of...
SEC Charges Former Broker and Firm for False Advertisement
Former New York based broker, Mark A. Grimaldi, reportedly pays $100,000 to settle charges with the Securities and Exchange Commission...
SEC Issues Risk Alert to Investment Advisory Firms
According to the Securities and Exchange Commission, the Office of Compliance Inspections and Examinations (OCIE) recently issued a Risk...
