June 2015

Layover Leads to Arrest of $300 Million Pump-and-Dump Mastermind

Alabama Advisor Arrested For $2.5 Million Theft

Finra Scrutinizing Mutual Fund Overcharges

Florida Advisor Fined After Targeting Retired Teachers, Cops In Ponzi Scheme

SEC Bars Two Inside Traders

Boston RIA's Clients Allegedly Lost $12M In Client Assets

80-year-old Advisor Steals From Church Nursery School

Broker Tried To Inherit Alzheimer Victim's Money, Finra Charges

Mike Tyson's Former Advisor Charged By SEC

N.J. Fund Manager Charged With Stealing $4 Million For Cars, Jewelry

Day Trader, Friends Charged In $4.4M Insider-Trading Scheme

SEC Closes Case On Former NAPFA Chair Serving 16-Year Prison Term

Investment Scams Prompt SEC Consumer Warning

Merrill Lynch Pays $11 Million To Settle Short-Sale Violations