FINRA settled allegations against general securities representative Anthony Tricario, previously of Aegis Capital Corp., that he engaged in excessive and quantitatively unsuitable trading in violation of FINRA Rules…
Read More
The Securities and Exchange Commission has charged Los Angeles-based actor Zachary Horwitz and his company – 1inMM (one in a million) Capital, LLC -- in connection with an…
Read More
Gina Champion-Cain was recently sentenced to 15 years in prison for her role in a $400 million Ponzi scheme. Champion-Cain had pled guilty to securities fraud, conspiracy, and…
Read More
Independent Financial Group, LLC has agreed to refund customers and pay a fine as part of a Consent Order entered into with the Texas Securities Commission. Independent Financial…
Read More
The Financial Industry Regulatory Authority (“FINRA”) has censured and fined three broker-dealers for failing to reasonably supervise their representatives’ recommendations of an alternative mutual fund. The three firms…
Read More
Last month, George Heckler, an unregistered investment advisor and hedge fund manager based in Charleston, South Carolina, pleaded guilty to running a “Ponzi-like” scheme by which he fraudulently…
Read More
