While Valley Forge told clients that, “Similar services by other brokers may be offered at higher or lower prices elsewhere,” its rates were significantly higher ...
Gennity recommended to four customers a pattern of high-cost, in-and-out trading without any reasonable basis to believe that his customers could make a profit. Gennity's ...
Gennity recommended to four customers – Customers 1 through 4 – a pattern of high cost, in-and-out trading without any reasonable basis to believe that ...
Schmidt sold securities belonging to at least seven of his retail brokerage customers and secretly transferred over $1 million in proceeds to at least ten ...
Scronic defrauded investors through making material misrepresentations in order to solicit investments and misappropriate assets, and that Scronic used the mails and other means and ...
The count of the criminal information to which Katsaros pleaded guilty alleged that, from in or about 2011 through in or about January 2013, Katsaros ...
The embezzlement counts of the criminal complaints to which Romer pled no contest and to which he was convicted alleged, among other things, that as ...
Spartan Securities filed fraudulent applications with Financial Industry Regulatory Authority (FINRA) to publicly list the companies' common stock and ultimately enable the shares to become ...