Phillip Kenner began his career as a Boston based financial advisor. He developed a list of clients which included professional hockey players from the National Hockey League. Today he might be continuing to build his investment advisory business by adding …
Tag: investment fraud
SEC Enforcement – A Focus on Retail Investors
The current retail focus of Commission enforcement is well illustrated by two recent cases. One involved a microcap market manipulation. The other centered on a scheme by market professionals who took advantage of clients they acquired by directing their investments …