Tag: USAO

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 …

IA Arrested On Bail For Continuing Fraudulent Scheme Read More »

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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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