CFP Board Disciplines Wisconsin Lawmaker Convicted Of Sexual Assault $12M Oil And Gas Drilling Fraud Charged By SEC Ex-JPMorgan Analyst Implicated in Insider Trading Scheme California Sports Drink Company Founder Is Barred From Financial Industry SEC: Retired Advisor Illegally Solicited Nearly $13 Million From Investors Real Estate Financier Defrauds Chinese Investors In $125 Million Scheme SEC Accuses Investment Manager Of $65 Million Fraud Ex-JPMorgan Banker To Plead Guilty In Embezzlement Case Hearing 3 Charged With Operating Phony Pension Advance Operation San Diego Investment Advisor Fined $2.6 Million For Misleading Clients Founder Of Pet Memorial Company Charged With Fraud By SECCiti Affiliates Pay $180M To Settle Hedge Fund Case Edward Jones To Pay $20 Million For Overpricing New Munis Ex-Fund Manager Mark Bloom Gets Three Years In Fraud Case ITG Pays Record Settlement For Misusing Confidential Client Info Broker Who Stole $4.4M From His Mother, Alzheimer's Patient Banned By SEC Texas Businessman Takes Investors For $114M Ride, SEC Says Texas Attorney General Paxton Indicted For Securities Fraud