Frank E. Lleras defrauded investors of $2.9 million in a real estate scheme, the SEC says.
Lending Company And Brokerage Firm Defrauded Investors, SEC Says
They kept information form investors about deteriorating loan values and other issues, the SEC says.
SEC Bars Advisor On State Sanctions
Nicholas Rowe, a Hollis New Hampshire investment advisor has been barred from the securities industry based on a bar imposed by the state securities commission.
FINRA bars 2 Brokers in Hedge Fund Fraud
Brokers told investors the fund was a 'growth', not a 'highly speculative' one.
Morgan Stanley In $63 Million Deal With FDIC Over Mortgage Bonds
Morgan Stanley has agreed to pay $62.95 million to resolve claims over the sale of toxic mortgage-backed securities.
Morgan Stanley Paid New Jersey Widow Over Puerto Rico Losses
Morgan Stanley paid a New Jersey widow to compensate for her losses on Puerto Rico securities.