Tag: Ponzi scheme

SEC: Broker Defrauded Long Time Clients in Fake Land Deal

The retail investor focus of SEC Enforcement continued this week. First there was an action based on a microcap fraud. Then a case involving the so-called “blockchain evangelist” and crypto currency fraud and then a touting proceeding involving a microcap

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IA Arrested On Bail For Continuing Fraudulent Scheme

A focus of a typical bail hearing is flight risk – is the person charged likely to return for the pending court proceedings and face the charges. Recently, a long established investment adviser was arrested on fraud charges. He had

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