Securities Fraud Articles
Broker Matthew O. Clason Charged with Stealing Client’s Funds
Matthew O. Clason, LPL Financial, Glastonbury, CT SEC Charges Matthew Clason with Stealing from Retired Client According to a litigation...
Broker Mark Boucher Charged with Defrauding $2.2 Million from Clients
Mark Boucher, Strategic Wealth Advisor Group Services Inc., Carlsbad, CA SEC Reportedly Charges Mark Boucher with ongoing fraud between...
FINRA Warns of Fake Broker Sites
FINRA Alert Warns of Fake Websites using Brokers’ Names Not long after an alert about a new fake FINRA domain that has an extra...
Broker Ross Barish Reportedly Charged with Fraud
Ross Barish, Joseph Stone Capital, Mineola, NY SEC Reportedly Charges Ross Barish with Defrauding 16 Customers According to a litigation...
Morgan Stanley hit with $950,000 for Failure to Supervise
FINRA sanctions Morgan Stanley after broker allegedly churns customer accounts. According to the Financial Industry Regulatory Authority...
FINRA Alert: Beware of Fake FINRA Domain and Potential Malware
FINRA warns member firms of imposter website, www.finnra.org (please notice the extra “n” in the domain name). According to a...
