Securities Fraud Articles
GA Couple Files Suit against 2 Advisors for Alleged Fraud scheme
Stacy Jamison – CUNA Brokerage Services – Securities Investigation According to a complaint filed in Cobb County State Court,...
Paul W. Smith Sentenced 5 years for Fraud Scheme
Paul Wescoe Smith – The Haverford Group – Pleads guilty to Mail, Securities Fraud According to numerous reports, Paul W. Smith...
Leon Vaccarelli Indicted 12 Counts of Fraud, Money Laundering
CT Advisor Leon Vaccarelli charged with defrauding investors According to federal law enforcement officials, Leon Vaccarelli, of Waterbury...
LPL to Pay $26 Million for Failure to Supervise
LPL Financial Settles Charges with State Regulators According to a press announcement, LPL Financial has agreed to pay up to $26 million to...
Former Ameriprise Advisor James Knee Indicted
James Knee charged with Theft, Financial Exploitation of the Elderly According to an article posted on wmur.com, former financial advisor...
SEC Announces Final Judgment – Lionshare Ventures & CEO
Lionshare Ventures LLC and Christopher Esposito charged in Fraudulent Scheme According to the Securities and Exchange Commission, on April...
