A Dallas County Grand Jury recently indicted Sarah Helen Hancock in connection with allegations that she committed fraud while working as an investment adviser at Hancock-Smith, LLC. The…
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Former Ameriprise Financial broker Angel W. Bardeche was recently fined and suspended by the Financial Industry Regulatory Authority (“FINRA”) for alleged generating around $450,000 in commissions from unsuitable…
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The Financial Industry Regulatory Authority (“FINRA”) recently fined and suspended former New Jersey-based broker Manish H. Shah relating to loans he took out from clients. According to FINRA,…
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The Securities and Exchange Commission has charged Vuuzle Media Corporation and its founder, Ronald Shane Flynn, with perpetrating an offering fraud that bilked $14 million from investors throughout…
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FINRA barred former MML Investors Services broker Gary Wayne Hammond for allegedly having participated in fourteen private securities transactions without providing notice to his firm, as detailed in…
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In late 2020, the Securities and Exchange Commission (the “SEC”) initiated multiple enforcement actions targeting real estate-based Ponzi schemes. On September 29, 2020, the SEC charged Lewis I.…
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