Stockbroker Misconduct and Investment Fraud Blog

CFTC Fines Goldman Sachs $1.5 Million

The U.S. Commodity Futures Trading Commission (CFTC) has fined Goldman, Sachs & Co. (“Goldman”) $1.5 million to settle CFTC charges that Goldman failed to diligently supervise an employee and have proper supervisory and compliance...

Florida man accused of stockbroker fraud

A Florida man and his accomplice are facing 23 felony counts of securities registration violations, broker-dealer violations and securities fraud. The men allegedly raised $1.6 million from local investors for a shell company — a medical...

Stockbroker defrauds client of 1 million dollars

It may sound all too familiar to Miami residents, but another stockbroker has been convicted of stealing from a client. The 44 year old admitted his guilt in federal court this past June and he has recently been sentenced to five years in prison...