Tag: investment fraud

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 …

Investment Adviser Sentenced to 17 Years Read More »

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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 …

SEC Enforcement – A Focus on Retail Investors Read More »

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