Securities Fraud Articles
Former Texas Financial Advisor James C. Tao Settles SEC Charges
SEC Charges James C. Tao with Defrauding Private Equity Fund Investors According to the Securities and Exchange Commission on December 5,...
Joseph C. Farah Barred from Securities Industry
FINRA Alleges Joseph C. Farah Churned Customer’s Account According to the Financial Industry Regulatory Authority, on January 17, 2018,...
Update on Securities Fraud Investigation: Chicago Advisor Daniel Glick
Daniel Glick Pleads Guilty to $5.2 M Misappropriation According to a press announcement Monday, the SEC has reached a plea agreement with...
$4 million FINRA Award – Case Against Former PA broker Anthony Diaz
FINRA Awards $4 Million to Investors According to The Financial Industry Regulatory Authority yesterday, FINRA arbitrators awarded more...
Former Cetera Advisor Daniel B. Vazquez charged with Fraud
SEC Files Charges – Hoplon Financial Group & Former CEO Daniel B. Vazquez According to a press announcement yesterday, the Securities...
New York Advisor Michael Giokas Arrested on Fraud Charges
Financial Advisor Michael Giokas Charged with $200K Fraud The White Law Group is investigating potential claims involving Michael Giokas...
