International political intelligence firm Marwood Group Research has admitted wrongdoing in leaking intelligence gathered from government employees.
NFL’s Dwight Freeney Can Pursue BofA, Merrill Fraud Claims
NFL's Dwight Freeney can proceed with his lawsuit alleging that Bank of America was complicit in a fraud scheme that caused him to lose more than $20 million and forced his restaurant to close.
PA Broker Stole Money To Remodel House, SEC Says
A former Pennsylvania broker falsely told clients they were investing in real estate tax lien certificates, the SEC says.
Atlanta Businessman Lied To Investors As He Raised $190 Million, SEC Says
Christopher F. Brogdon defrauded investors who thought they were putting money into senior citizens' housing, SEC alleges.
New York Advisors Fined $1M for Violating Custody Rule -- Again
Brothers Martin and Steven Sands, their firm Sands Brothers Asset Management and the firm's former CCO Christopher Kelly agree to suspensions after allegedly violating the SEC's custody rule.
SEC Sues Over Singer Bob Marley Pump-And-Dump Scheme
The SEC says perpetrators used the name and trademarks of the late reggae singer to reap profits in a $78 million scheme where they hijacked a small coffee company formed by Marley’s son.
Prime Bank Scheme Results In $7.3 Million Penalty
A New Jersey man promised investors astronomical returns with no risk, the SEC says.
Multimillion-Dollar Schemes Lead To SEC Sanctions Against Father And Son
The father-and-son investment management team agreed to be barred from the financial industry after being accused of fraud, the SEC announced.
Indiana Investment Manager Cheated Amish Clients, SEC Says
The assets for the investment manager who took money from members of the Amish community have been frozen.
Elderly Cheated Out Of $4.6 Million In Retirement Money, SEC Says
A Wichita Falls, Texas, insurance agent convinced elderly clients to invest in his business and then spent their money on himself, the complaint says.
MetLife Says Finra Staff Recommends 'Significant Fine' Of Broker
MetLife said Finra’s staff has indicated the agency will seek a “significant fine” from the company’s broker-dealer unit as part of a probe into possible violations tied to variable annuities.
Ex-JPMorgan Broker Admits Stealing $22 Million For Gambling
The broker stole from customer accounts and used the money to gamble on sporting events, pay his bills, and trade stocks online.
SEC Bars Ohio Doctor Involved In $66 Million Ponzi Scheme
The SEC has barred Scott Doak, an emergency medicine physician from Xenia, Ohio, after he admitted to his role in cheating clients.