A Man Impersonated Son to Deceive Investor Clients
The SEC accuses the father of impersonating his son David to advise clients notwithstanding being banned from broker-dealer platforms — violating the Investment Advisers Act.
The SEC accuses the father of impersonating his son David to advise clients notwithstanding being banned from broker-dealer platforms — violating the Investment Advisers Act.
The Financial Crimes Enforcement Network (FinCEN) fined Capital One $390 million for admitted shortcomings in the holding company’s anti-money-laundering program.
The Securities and Exchange Commission (SEC) recently charged three individuals, and their affiliated entities, for running a Ponzi-like scheme and infringing the whistleblower protection laws. The fraud, which raised over $1.7B, was conducted...
Dimond Kaplan & Rothstein, P.A. is pleased to share that it has secured a FINRA arbitration award for its clients’ investment losses.
Dimond Kaplan & Rothstein is happy to share its recent arbitration win against Arete Wealth Management for the sale of risky private placements in GPB Automotive Portfolio, as reported by Investment News.
A federal court has ordered 1 Global broker Roger E. Dobrovodsky, 65, to surrender his commission earnings of $317,690 over to the Securities Exchange Commission for the sale of unregistered securities sales along with civil penalties and...