by admin | Dec 8, 2014 | Securities Fraud
The Securities and Exchange Commission (SEC) recently charged Judy Wolf, a former compliance officer at Wells Fargo Advisors, for improperly altering a document. The SEC alleges that Wolf altered a document before it was provided to the SEC during its investigation...
by admin | Nov 11, 2014 | Securities Fraud
An independent contractor with Raymond James Financial Services, Jo Ellen Fisher, has been barred from serving as an investment adviser after allegedly stealing $924,750 from a 95-year-old client to fund personal expenses. In a settlement posted on its website, the...
by admin | Nov 5, 2014 | Securities Fraud
Allowing numerous variable annuity (VA) applications to proceed without being reviewed by a supervisor led the Financial Industry Regulatory Authority Inc., (FINRA) to file charges recently against SWS Financial Services Inc. FINRA claims sales of these annuities...
by admin | Oct 29, 2014 | Securities Fraud
Dennis Wright, a former broker at Axa Advisors in Lewistown, Pa, has been charged by the Securities and Exchange Commission (SEC) with running a Ponzi scheme that bilked customers of $1.5 million. In the 14-year-old scheme, which ran between 1998 and 2012, Wright...
by admin | Oct 21, 2014 | Securities Fraud
In 2013, brokers charged with investment fraud were sentenced to a 33 percent longer jail sentence than in the previous year, according to the North American Securities Administrators Association (NASAA). William Beatty, NASAA president and director of the Washington...
