Broker Investigations
William Berg Allegedly Swindled Investors out of $1.5 MillionÂ
FBI’s “Most Wanted” William Berg Arrested for Defrauding Investors William Berg, a former financial advisor from Waukee, Iowa, was...
Luke Michael Johnson Investment Losses
Broker Luke Michael Johnson of Coastal Equities (now known as Realta Equities) Sanctioned for Investment Fraud The White Law Group...
Gustavo Dolfino Allegedly Defrauded Investors
Gustavo Dolfino, Silver Leaf Partners Advisor Barred by the SEC The Securities and Exchange Commission has reportedly settled charges with...
Cetera, First Allied Advisors Charged with Cherry-Picking Schemes
Cetera, First Allied Advisors William Carlton and Hans Hernandez Allegedly Defrauded Clients The SEC has reportedly charged two former...
Brian Graham, Cetera, Barred by FINRA
Broker Brian Graham Barred after Allegations of Fraud According to FINRA on October 1, 2024, the regulator has reportedly barred financial...
Robert Vance, Moloney Securities, SEC Charges
SEC Files Lawsuit Against California Advisor, Robert Vance for Sale of GWG Holdings Bonds On September 30, 2024, The U.S. Securities and...
