Tag: misapropriation

The Commission filed another action centered on retail investors. In this case two employees of a well known Financial Institution took advantage of firm clients over a period of three years, defrauding them of thousands of dollars. SEC v. Polese, …

SEC Charges Two Advisers With Fraud Tied to Retail Investors Read More »

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Professional athletes and high net worth individuals who seek concierge type advisory services can become the victims of the advisers they trust to manage their affairs. One such case was SFX Financial Advisory Management Enterprises, Inc., Adm. Proc. File No. …

SEC Charges Provider of “Premier” Advisory Services with Fraud Read More »

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