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…
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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…
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…
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…
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…
Kent Maerki, 78, of Scottsdale, Ariz., was recently sentenced to 16 years in prison for his role in a nationwide investment fraud conspiracy. The scheme bilked investors out…
