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You wouldn't believe it - not every financial advisor has your best interest at heart



SEC: Recidivist Scam Artist Started New Fraud Under Home Confinement

SEC: Advisor Used Business Incubator Scam To Fund 'Lavish' Lifestyle

Ex-Woodbridge Group CEO Robert Shapiro Pleads Guilty in Fraud

Philly-Area Brokerage Execs Agree To Pay $1.5M In Fraud Case

Celebrity Advisor Dawn Bennett Sentenced To 20 Years For $20 Million Fraud

Alaska RIAs Improperly Recruited Investors For Fraudulent Fund, SEC Says

SEC Orders Former Hedge Fund Portfolio Manager To Pay $700,000

Two B-Ds To Pay $1 Million For Overcharging Clients On Mutual Funds

Unlicensed Tennessee Broker Charged For Involvement With Woodbridge Ponzi Scheme

Former REIT Mogul Schorsch Will Pay $60M To Settle Fraud Charges

Mass. Advisor Who Defrauded Investors Agrees To Pay $1.3M, SEC Says

Ohio Ex-Wells Fargo Advisor Sentenced To 5 Years For Ponzi Scheme Targeting Elderly

SEC Fines State Street $88 Million For Fund Markups

SEC Charges New Defendant In $43 Million Tribal Bonds Fraud

Edward Jones Ordered To Pay $500K For Allegedly Playing Favorites In Divorce

LPL Fined $1M Over Failure To Register 651 Advisors In Massachusetts

SEC Wins Trial Against N.Y. Broker Charged With Defrauding Customers

SEC Judgment Brings Cape Cod Advisor’s Six-Year Fraud Spree To A Close

Janney Montgomery Rep Allegedly Costs Clients $200,000 In Fund Overcharges

California Firm's Fraud Cost Clients $11 Million In Fee Overcharges, SEC Says

Two Mass. Advisors Accused Of 'Gambling Away' $10M In Client Money

The ‘Money Doctor’ Charged In $19.6 Million Ponzi Scheme

SEC Halts $3.6 Million South Florida 'Alternative Investments' Scam Run By Felon

Former Merrill Lynch Broker Sentenced To 40 Months In Prison

Texas Broker Overcharged Fund Investors By $1.6 Million, Finra Says

Rep Committed Suicide After Ripping Off His Aunt, Finra Says

Michigan Advisor Wiped Out Clients' Retirement Savings, SEC Says

SEC Shuts Down $345 Million Nationwide Ponzi Scheme

Students learning to invest misled by advisor with bills to pay: SEC

Ex-Goldman Analyst Pleads Guilty To Trading Tips For NFL Tickets

Facing SEC Pump-And-Dump Charges, Ladenburg Chair Philip Frost Retires

SEC Charges Advisor In $13 Million Fraud Against Teachers, Retirees

SEC Charges RIA Couple In Nationwide Crackdown On Cherry-Picking Accounts

Trader Who Ripped Off His Mom, Friends Gets 8 Years

'Hoodoo' curse couldn't hide advisor's $20M Ponzi scheme

Self-Proclaimed 'Frack Master' Agrees To Serve 12 Years, Repay $23.8 Million

Broker Charged With Stealing $1M From Clients, Using Money For Super Bowl

CEO In Woodbridge Ponzi Scheme Fined $120 Million By SEC

Advisor gets prison time after elderly clients lose millions

Former LPL Broker Sent To Prison For 20 Years For Theft From Clients

Former Broker Defrauded Retired Clients

Advisor Pleads Guilty To Defrauding Clients Out Of $3 Million

Stock Promoter Spent Three Years Manipulating Microcap Trades, SEC Says

'America's Money Answer Man' - Former Journalist Now Charged By The SEC In Woodbridge Ponzi Scheme

Ex-Ladenburg Thalmann Chairman Settles With SEC For $5.5 Million

L.A. Advisor Faces Prison For Cheating 'High-Profile' Athlete

Royal Alliance And Former Broker Fined $4 Million By Finra

Royal Alliance Agent Annuity Switch Cost Couple $60,000, Mass. Regulators Charge

Woodbridge Group Ordered To Pay $1 Billion For Defrauding 8,400 Investors

SEC Accuses Texas Real Estate Developer With $45 Million Ponzi Scheme

Former Virginia RIA Sentenced To 13 Years For $6.6M Ponzi Scheme

Finra Panel Awards Couple $519K In Case Against Morgan Stanley

New York Broker-Dealer Found Liable For Fraud In Private Placement Offering

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