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Investment Adviser

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Global investment adviser to pay $8 million civil penalty

05/06/2018(0)
The Securities and Exchange Commission announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an $8 million civil penalty related to its failure to disclose ... Read More
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Investment Adviser Charged in Multi-Million Dollar Options Trading Scheme

06/10/2017(0)
The Securities and Exchange Commission charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail investors about the value of their investments in a Ponzi-like scheme. ... Read More
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Investment adviser charged with defrauding professional athlete and his wife

23/08/2017(0)
The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete and the athlete’s wife, by deceiving them about the ... Read More
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100 investors lost more than $15 million in stock fraud

27/03/2017(0)
The office of the U.S. Attorney for the Southern District of New York has issued an announcement to inform that investment adviser and broker found guilty in Manhattan Federal ... Read More
Securities Exchange Commission

SEC Charges Investment Adviser With Stealing Investor Funds

03/02/2017(0)
The Securities and Exchange Commission today charged a Connecticut-based investment advisory business and its owner with stealing money from investors to settle a private lawsuit among other misuses. The ... Read More
Securities Exchange Commission

10 investment advisory firms have agreed to pay penalties to settle charges

18/01/2017(0)
10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions The Securities and Exchange Commission today announced that 10 investment advisory firms have agreed to pay ... Read More
Securities Exchange Commission

Investment Adviser Fraudulently Overbilled Clients, Stole Assets for Personal Expenses

31/10/2016(0)
The Securities and Exchange Commission today charged a Los-Angeles based investment advisory firm and its owner with fraudulently overbilling clients and stealing assets from their trusts to pay such ... Read More
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Broker sentenced for Grand Central insider-trading scheme

03/10/2016(0)
For many people, the clock that sits atop the information booth in the middle of Grand Central Terminal can serve as a vivid memory of a visit to New ... Read More
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The FCA UK fines and prohibits financial adviser

01/09/2016(0)
The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator The Financial Conduct Authority (FCA) ... Read More
tax fraud

Investment adviser to plead guilty to running a $21 million Ponzi scheme

07/07/2016(0)
A Rhode Island investment adviser has agreed to plead guilty to criminal charges for orchestrating a $21 million Ponzi scheme, according to a statement from the U.S. Attorney’s Office. ... Read More
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