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Recent Posts in Registered Investment Advisor Category

Merrill Lynch to Pay $8.9 Million to SEC for Failing to Disclose Conflict of Interest

The SEC censured Merrill Lynch and ordered the firm pay $8.9 million in fines, disgorgment and penalties after finding the firm violated the Advisers Act by failing to disclose a key conflict of ...
Continue reading "Merrill Lynch to Pay $8.9 Million to SEC for Failing to Disclose Conflict of Interest" »

SEC Bars BKS Advisors' Roger Denha for Fraudulent Cherry-Picking Trade Allocation Scheme

The SEC barred Brandt, Kelly & Simmons Securities broker and BKS Advisors investment adviser Roger Thomas Denha for engaging in a fraudulent trade allocation scheme known as "cherry ...
Continue reading "SEC Bars BKS Advisors' Roger Denha for Fraudulent Cherry-Picking Trade Allocation Scheme" »

$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought

An InvestmentNews report suggests that the $1.2 billion Ponzi and fraud scheme the SEC in January charged Robert H Shapiro (Sherman Oaks, California, and Aspen, Colorado)'s Woodbridge Group of ...
Continue reading "$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought" »

SEC Charges Joseph Bronson's Strong Investment Management with Cherry Picking Fraud, Misrepresentation

The SEC charged Strong Investment Management and owner Joseph Brian Bronson of Yorba Linda, California with defrauding customers from 2012 through 2016, utilizing an illicit discretionary trading ...
Continue reading "SEC Charges Joseph Bronson's Strong Investment Management with Cherry Picking Fraud, Misrepresentation" »

Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors

Securities regulators in Massachusetts charged Securities America and advisor Barry Graham Armstrong with running a "grossly deceptive" radio campaign targeted at vulnerable senior citizens. ...
Continue reading "Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors" »

SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts

The SEC is increasing scrutiny in its reviews of retirement account and investments targeted to seniors, releasing a "National Exam Program Risk Alert" vowing to focus on brokers and ...
Continue reading "SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts" »

SEC Charges San Diego's Total Wealth Management with Fraud in Kickbacks Scheme

The Securities and Exchange Commission charged Total Wealth Management, Inc., an advisory firm headquartered in San Diego, California, with breach of fiduciary duty and fraud, alleging that the firm ...
Continue reading "SEC Charges San Diego's Total Wealth Management with Fraud in Kickbacks Scheme" »

SEC National Exam Program's Investment Adviser & Company Priorities for 2014

In addition to its broker-dealers priorities list, the SEC released its 2014 examination priorities as pertains to the investment adviser/investment company program, which has primary authority for ...
Continue reading "SEC National Exam Program's Investment Adviser & Company Priorities for 2014" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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