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Tag: misappropriation

Blog, Securities Fraud

Investigation Into Possible Securities Fraud Involving Travis Wright And Waterford Loan Fund

The U.S. Securities and Exchange Commission has recently sued a Utah man for fraudulently misusing $139 million of investor funds....

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Blog, Securities Fraud

Christopher William Shanahan, a former financial advisor in Westlake, Ohio, barred from securities industry.

FINRA recently announced that Christopher William Shanahan, a former financial advisor in Westlake, Ohio, has been barred from association...

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Blog, Securities Fraud

Daniel Glenn Carlen, formerly of Slavic Investment Corporation in Boca Raton, Florida, barred from securities industry for misappropriating funds.

FINRA recently announced that Daniel Glenn Carlen, formerly a registered representative for Slavic Investment Corporation in Boca Raton,...

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Blog, Securities Fraud

Thailia Alisa Tucker, a former financial advisor for Wachovia Securities, LLC in Miami , Florida , barred from FINRA for securities fraud.

FINRA recently announced that Thailia Alisa Tucker, a former financial advisor for Wachovia Securities, LLC in Miami , Florida , has been...

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Blog, Securities Fraud

FINRA Bars Citigroup Sales Assistant Tamara Lanz Moon of Redwood City, California for Taking More Than $850,000 From Customers, Falsifying Records, and Making Unauthorized Trades

Broker Targeted Accounts of Elderly and Vulnerable Clients; Citigroup Has Paid Restitution to Customers The Financial Industry Regulatory...

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