Securities Fraud Articles
Former Financial Planner Gerald Eaton Pleads Guilty to Fraud
Gerald Eaton, Commonwealth Financial Network, Acton, MA Authorities Allege Gerald Eaton Stole $3.7 Million from 20 Clients According to...
Michael Cohn, Ex-GPB Capital Exec Pleads Guilty to Stealing SEC info
GPB Capital Exec Reportedly Pleads Guilty to Misdemeanor According to reports yesterday, Michael Cohn, former chief compliance officer at...
Wells Fargo to pay $1.4 M in Restitution
FINRA Sanctions Wells Fargo for Failure to Supervise VA Switches According to the Financial Industry Regulatory Authority (FINRA) on...
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...
