Seniors

Matthes stole $2.4 million from 26 of his customers and clients

The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...

Some of his widowed victims came to him through an elder care placement center owned by his wife

The defendants’ conduct involved fraud, deceit, or deliberate or reckless disregard of regulatory requirements

OCIE "searches for signs of fraudulent schemes perpetrated through brokerage and advisory accounts"

Peter de Roetth opened Account Management ($135M in AUM) in Boston in 1963. One of his earliest clients was a woman who stuck with him ...

It’s not news that getting a client to loan you money or becoming a beneficiary of his or her estate is almost always a sure ...

Peter de Roetth, with Chris de Roetth’s knowledge, made concentrated efforts to get Ms. Doe to sign an amendment that continued her trust for twenty ...

One year after the SEC’s Investor Advocate Rick Fleming stated in his annual report to Congress on his objectives that the Commission’s three fiduciary duty ...

Glick and FMS provided clients with false account statements that hid Glick's improper use of client funds to pay personal expenses and his improper transfers ...