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Ponzi Scheme
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April 22, 2022
After Causing Investor Losses, Bankrupt GWG Holdings Blames SEC Investigation For GWGH Failures
September 06, 2021
SEC Complaint Cites Former Oppenheimer Rep John Woods for Massive $110 Million Horizon Private Equity Ponzi Scheme Targeting Elderly Retirees
February 08, 2021
SEC Charges GPB Capital Holdings, Ascendant Capital, with $1.7 Billion Ponzi Scheme Defrauding 17,000 Retail Investors
November 05, 2019
SEC Bars James Booth (Ex-LPL Financial) Over $5 Million Ponzi Scheme Victimizing Elderly Clients
July 26, 2019
GPB Capital Sued for Alleged Serious Financial Misconduct
January 07, 2019
John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud
April 18, 2019
John Ernst Sanctioned for Ponzi-Laden Woodbridge Note Sales
March 29, 2019
JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme
March 11, 2019
SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud
February 19, 2019
Michael Rappa Barred for $2.7 Million-worth of Woodbridge Ponzi Transactions
January 11, 2019
Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme
November 29, 2018
Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme
September 11, 2018
HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation
August 23, 2018
Massive Woodbridge Fraud Grows as 5 Charged With Selling $243 Million of Ponzi Product to 1,600 Investors
December 13, 2022
LPL Financial Fined $150k, Admonished for Failing to Supervise Broker Involved in Ponzi Scheme
November 08, 2022
Stephen Romney Swensen, Crew Capital Group Named in $30 Million Ponzi Scheme Complaint
January 24, 2022
Ivan Acevedo, Guilty of Fraud in Woodbridge Ponzi Scheme, Barred by SEC
March 18, 2021
Whitehall-Parker Securities, Robert James Yuloo Cited for Failing to Supervise Broker Who Sold Fraudulent Woodbridge Ponzi Scheme Products
March 04, 2021
LPL Broker Rhett Douglas Bedwell Barred During Investigation of Ponzi Scheme
January 07, 2021
LPL Financial Fined $6.5 Million for Supervisory Deficiencies in Wake of $1+ Million Ponzi Scheme
July 08, 2020
Elizabeth Morrell Barred Over Fraudulent Woodbridge Group Ponzi Scheme
June 20, 2020
E-mail Communication Failures - What a Terminated CEO, WhatsApp Broker, Woodbridge & FIP Have in Common
June 11, 2020
Dee Dee Brooks Barred Over Fraudulent Woodbridge Ponzi Scheme, Future Income Payments Solicitations
March 24, 2020
Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
February 05, 2020
SoCal Ameriprise Broker Li Lin Hsu Sentenced for $8.2 Million Fraud
January 27, 2020
FINRA Bars NYLife's Kari Bracy Over $300 Million Ponzi Scheme Future Income Payments Misrepresentation
December 02, 2019
SEC Bars Securities America Broker Ronald J Roach over $1 Billion DC Solar Fraud and Ponzi Scheme
October 04, 2019
James Lamont Sanctioned for Selling $1.5 Million of Notes in Fraudulent Woodbridge Ponzi Scheme
June 08, 2018
$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought
April 20, 2018
FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients
April 11, 2018
Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi
February 05, 2018
SEC Adds Misappropriation to Sports Advisor Ash Narayan's Fraud Charge in Amended Complaint
January 27, 2018
SEC Charges Woodbridge Group of Companies in 'Massive' $1.2 Billion Ponzi Scheme Targeting 8,400 Investors
January 17, 2018
Linked to Dawn Bennett $20 Million Fraud Investigation, FINRA Bars Bradley Mascho for Failing to Cooperate
January 05, 2018
Raymond James Fined $2 Million for Failing to Supervise E-mail Communications
December 27, 2017
NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
July 13, 2017
Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme
November 07, 2016
Tracy Turner's 35th Disclosure is Complaint Alleging $4.1 Million Private Securities Misconduct
October 27, 2016
Stuart Dickinson Barred, Restitution Ordered for Recommending Customers Purchase the ATM Alliance Ponzi Scheme
October 20, 2016
JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice
August 11, 2016
Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
July 23, 2016
Ex-Wells Fargo Advisor Bradley Smegal Charged with Securities Fraud for Defrauding Clients Out of $5 Million, Making Ponzi Payments
June 22, 2016
SEC Charges Ash Narayan, The Ticket Reserve with Fraud in Ponzi-Like Sports Ticketing Scheme
May 13, 2016
Robert Kerrigan Investigated for Undisclosed USA Barcelona Outside Business Facing Fraud Charge, Barred for Refusal to Cooperate
February 26, 2016
Firms That Sold 'Ponzi' UDF REITs May Be On the Hook in Wake of FBI Raid, SEC Investigation
February 18, 2016
FBI Raids United Development Funding in Investigation; UDF Shares Plummet
July 03, 2015
SEC Charges Malcolm Segal with $15m Ponzi Scheme Selling Fake CDs, Unrealistic Interest Rate
January 22, 2015
Ex-UBS Broker Donna Jessee Tucker Barred, Convicted of Fraud for Stealing from Elderly in Ponzi-like Scheme
November 16, 2014
NASAA Names Top 9 Investor Threats for 2015
September 26, 2014
2014's 12 Worst Financial Advisors List Features Ponzi Schemes, Scams and Frauds
August 14, 2014
Ex-Wells Fargo Broker, Michael James Frew, Barred for Failure to Cooperate with Investigation into Alleged Conversion of Funds and Ponzi Scheme
June 06, 2014
Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 19, 2014
SEC Bars Convicted Fraudster Gurudeo Persaud for Investment Strategy Based on Astrology
May 05, 2014
Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases
March 05, 2014
Former Merrill Lynch Broker Jane O'Brien Accused of 18-Year, $1.3 Million Ponzi Scheme
February 18, 2014
Former Merrill Lynch Adviser Gary H. Lane Given 10 Year Prison Sentence for Defrauding Elderly Investors via Ponzi Scheme
December 31, 2013
Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact
December 30, 2013
Bambi Holzer Barred for Unsuitable Provident Royalties Sales, Failure to Disclose and Submission of False Information
November 20, 2013
Brian Matt Borakowski, George Alexander Kardaras Barred for Promissory Notes Ponzi Scheme Fraud
October 29, 2013
About Time: FINRA Files Complaint Alleging Unsuitable Recommendations, Falsification of Records After Beverly Hills Broker Bambi Holzer Suspended From Industry
October 17, 2013
NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats
October 15, 2013
SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
October 02, 2013
Fraud in Modern America, a Nation at Risk-The Telltale Signs
January 16, 2013
Doran Lynn Follis Suspended for Inadequate Due Diligence, Improper Recommendations
September 20, 2012
SEC Charges Broker with Stealing to Pay Personal Expenses, Investors, Many from Santa Monica, Lose $600,000 in Ponzi Scheme
June 20, 2012
John Brady Guyette Suspended & Fined for Fraudulent Misrepresentations in Recommending Investment Options
June 13, 2012
John Farahi of NewPoint Financial Pleads Guilty to $20+ Million Ponzi Scheme
