Seniors

The Commission’s complaint alleged that between 2008 and March 2018, Respondent Maccoll defrauded at least 15 of his retail brokerage customers out of nearly $4 ...

Cody defrauded at least three of his retired clients over a twelve-year period by concealing the fact that their retirement accounts had lost substantial value ...

Kelly used his companies, Lion's Share Financial of East Cobb, Inc., Lion's Share & Associates, Inc., and Lionsshare Tax Services, LLC, to raise at ...

A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new heights. NASAA’s annual ...

Schmidt, who was associated with an SEC-registered broker dealer, sold securities of at least seven of his customers and secretly transferred over $1 million in ...

She made material misrepresentations about the investment stating that the investment was without risk, was completely liquid, and featured a guaranteed rate of return of ...

Ernest J. Romer, III persuaded at least 30 of his customers, many of whom invested most of their life savings with Romer, to sell securities ...

Even before a new law granted immunity to advisers who undergo training to spot financial exploitation of the elderly (IA Watch, May 24, 2018), Nathan ...

Maccoll told his customers that the purported fund investment would allow them to diversify their portfolios, receive annual investment returns as high as 20%, ...

Here are 11 questions found within an OCIE document request letter sent to an advisory firm that specifically asks about how the firm handles its ...