August 2017

SEC Bars One Bankrate Exec, Fines Another For Stock Manipulation
Two former executives of financial information website Bankrate have settled SEC allegations of stock manipulation.

California Bars 'Five-Star' Advisor, Pulls License From RIA
An RIA has accepted an industry bar and the revocation of his firm's license in California.

FSC To Repay ETF Investors 492K
FSC has agreed to pay a $100,000 fine and repay clients $492,000 to settle a Finra case over sales of non-traditional ETFs.

SEC: Advisor Must Pay $2 Million For Stealing From Athletes To Fund Movies
Louis Martin Blazer III took money from professional athletes to fund movies, says the SEC.

Boston Hedge Fund Manager Arrested And Charged With Ponzi Scheme
Raymond Montoya, who led the RMA Strategic Opportunity Fund, was charged by federal prosecutors.

8 Charged In Pump-And-Dump Scheme
Eight people from three states were charged in a pump-and-dump stock scheme.