Criminal Conduct

Posts In Criminal Conduct

American Portfolios Financial Services Cited After Assistant Kimberly Sredich's Theft from Clients & Rep Mark Hopkins' Misappropriation, $1 Million SEC Case Dec 22
FINRA fined and censured American Portfolio Financial Services for supervision failures and ...
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Raymond James' Mark Boucher Criminally Charged in $2 Million Fraud Oct 18
One year after the SEC first accused former Raymond James (Carlsbad, CA) broker Mark J Boucher of ...
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A Truly International Operation: Northstar Financial Services (Bermuda)'s Liquidation Will Result in Significant Losses May 06
On March 26, 2021, the Supreme Court of Bermuda issued an order against Northstar Financial Services ...
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Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison Apr 01
A Department of Justice press release announcing ex-financial adviser Anthony Diaz's 17-year prison ...
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George Magladry Suspended for Failing to Disclose Felony Charges Jan 27
As part of its crackdown on brokers and investment advisers who fail to disclose all manner of ...
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Kathleen Bott Barred After Investigation Into Theft Charges Oct 05
FINRA barred longtime DA Davidson & Co broker Kathleen Marie Bott, who served as the firm's ...
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