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Securities Fraud
Ex-Morgan Stanley Advisor Shawn Good Allegedly Defrauded Investors out of $7 Million
Advisor Shawn Good of Wilmington, NC Reportedly Pleads Guilty to Fraud Scheme, Faces 30 Years in Prison A former financial advisor in...
Jeffrey Basford, David Lerner Associates, Barred after Allegations of Unsuitable Investments
David Lerner Advisor Jeffrey Basford Allegedly sold Unsuitable Energy Investments to Clients According to the Financial Industry...
MML Advisor Amanda Berry Allegedly Misappropriated Client Funds
MML Investor Services Advisor Amanda Berry of Oklahoma City Reportedly barred after Allegations of Investment Fraud According to an...
SEC Bars Arthur Hoffman after Allegations of Fraudulent Crypto Scheme
Art Hoffman, of Ameriprise Financial, Allegedly Defrauded Clients in connection with Zima Digital Assets The Securities and Exchange...
Ex-LPL Advisor James Couture Pleads Guilty to Stealing $2.8 Million from Six Clients
James Couture, LPL Advisor, Faces 20 years in Prison for Defrauding Investors According to a press announcement on September 8, 2022,...
FINRA Fines Bank of America Securities $5M for Reporting Failures
FINRA says BofA Securities Failed to Report Over-the-Counter Options Positions in More Than 7.4 Million Instances According to a press...
