Administrative Proceedings

Lindell obtained unauthorized control over funds designated for the purchases of securities by his client and diverted the funds to his personal use and/or ...

In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife based ...

Although Wilson’s WSPs identify suspicious activity, list red flags, and describe Wilson’s responsibility to file SARs, Wilson failed to adequately conduct AML reviews and to ...

Rivera-Padilla admitted that beginning in January 27, 2011 and continuing through January 2016, he engaged in a conspiracy and scheme to defraud with Oscar Ferrer ...

In slide decks used to solicit investment in Canada, in the United States, and elsewhere, NextBlock and Tapscott falsely represented that as many as four ...

Thompson, among other things, charged his clients unauthorized, unearned, and excessive fees, forged client signatures on advisory contracts, provided clients with inaccurate fee invoices, and ...

Corinthian misused the assets in a private equity fund, Corinthian Equity Fund II, LP (“CEF 2”) that it advised to the advantage of Corinthian and ...

Roveccio recommended to seven customers – Customers 5 through 11 – a pattern of high cost, in-and-out trading without any reasonable basis to believe ...

From approximately 2009 through March 2011, Gierten misappropriated a total of $39,000 from one of his clients, who was an elderly military veteran. Gierten did ...

In marketing materials and other related documents provided to clients, DBTCA disclosed that it relies on an independent, in-house research group (“Research Group”) that uses ...