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Recent Posts in FBI Category

Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations

FINRA barred former Mutual of Omaha financial adviser Edward Earl "Ed" Matthes after he failed to cooperate with an investigation into allegations he misappropriated funds from clients and ...
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FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients

FBI agents arrested former Ameriprise Financial Services representative Li Lin Hsu of Diamond Bar, California and charged her with mail fraud, wire fraud, obstruction of justice, and money laundering. ...
Continue reading "FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients" »

Merrill Lynch Fires Christopher Hibbard after Investigation Uncovers Alleged Theft

Merrill Lynch terminated broker Christopher Lee Hibbard following a customer complaint alleging unauthorized transactions and theft related to variable annuities and money market funds. According to ...
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Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud

Former Hudson Valley Capital Management co-owner Mark Joseph Gillis pleaded guilty to securities fraud after investigators charged him with scheming to steal nearly $400,000 from investors. FINRA ...
Continue reading "Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud" »

William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss

FINRA barred William "Bill" August Glaser for failing to cooperate into an investigation surrounding his termination from National Planning Corporation of St. Albans Rd, Missouri. According ...
Continue reading "William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss" »

JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice

With the SEC's recent issuance of a Wells Notice against the troubled Texas real estate investment trust (REIT) known as United Development Funding IV, or UDF IV, combined with NASDAQ's ...
Continue reading "JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice" »

Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions

Industry wide, non-traded real estate investment trust (REIT) sales are falling significantly due to widespread legal and regulatory issues, according to an Investment News report. For instance, sales ...
Continue reading "Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions" »

Charged with Fraud, Ex-JPMorgan's Michael Oppenheim Sentenced to Five Years for Stealing $20 Million from Clients

Former JPMorgan Chase & Co. broker Michael Oppenheim, charged with multiple counts of fraud over allegations that he stole $20 million from customers—and schemed to cover it up—reached ...
Continue reading "Charged with Fraud, Ex-JPMorgan's Michael Oppenheim Sentenced to Five Years for Stealing $20 Million from Clients" »

Firms That Sold 'Ponzi' UDF REITs May Be On the Hook in Wake of FBI Raid, SEC Investigation

Several firms that sold United Development Funding (UDF) real estate investment trusts (REITs) could face arbitration claims from investors who lost money in the now-collapsed United Development ...
Continue reading "Firms That Sold 'Ponzi' UDF REITs May Be On the Hook in Wake of FBI Raid, SEC Investigation" »

FBI Raids United Development Funding in Investigation; UDF Shares Plummet

FBI agents raided the offices of United Development Funding, suggesting a criminal investigation is now underway into the real estate firm. The SEC previously launched its own investigation into ...
Continue reading "FBI Raids United Development Funding in Investigation; UDF Shares Plummet" »

James Yiu Lee Sentenced to 6.5 Years in Prison, Ordered to Repay $10.5 Million in Fraudulent Scheme

The US District Court for the Southern District of California sentenced former La Jolla broker James Yiu Lee to 6.5 years in prison and ordered restitution in excess of $10.5 million for losses ...
Continue reading "James Yiu Lee Sentenced to 6.5 Years in Prison, Ordered to Repay $10.5 Million in Fraudulent Scheme" »

Former JPMorgan Broker Michael Oppenheim Charged for Stealing $20 Million from Clients

FBI officials charged former JPMorgan Chase & Co. banker Michael Jeffrey Oppenheim with stealing $20 million from customers at JP Morgan in a fraudulent scheme prosecutors allege bilked eager ...
Continue reading "Former JPMorgan Broker Michael Oppenheim Charged for Stealing $20 Million from Clients" »

Ex-UBS Broker Donna Jessee Tucker Barred, Convicted of Fraud for Stealing from Elderly in Ponzi-like Scheme

Former UBS Financial Services Inc. investment adviser Donna Jessee Tucker pled guilty to wire fraud and tax evasion in federal court, admitting that she stole up to $1 million from elderly clients. ...
Continue reading "Ex-UBS Broker Donna Jessee Tucker Barred, Convicted of Fraud for Stealing from Elderly in Ponzi-like Scheme" »

Ferry, Clinton and Martin Sentenced for Conspiracy, Mail and Wire Fraud in FBI Sting

Former Southern California securities professionals Dennis J. Clinton and Paul R. Martin were sentenced to 30 months and William J. Ferry was sentenced to serve 15 months in prison for their roles in ...
Continue reading "Ferry, Clinton and Martin Sentenced for Conspiracy, Mail and Wire Fraud in FBI Sting" »
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