Financial Adviser Charged With Stealing From Client AccountsAn investment adviser representative has been charged with stealing approximately $5 million from client accounts by initiating unauthorized wire transfers and issuing checks to third parties to cover personal expenses.
Investment Adviser Charged With Stealing Investor Funds
A Connecticut-based investment advisory business and its owner have been charged with stealing money from investors to settle a private lawsuit among other misuses.
SEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme
Fraud charges have been announced against two New York City men accused of running a Ponzi scheme with money raised from investors to fund businesses purportedly created to purchase and resell tickets to such high-demand shows as Adele concerts and the Broadway musical Hamilton.
Citigroup Paying $18 Million for Overbilling Clients
Citigroup Global Markets has agreed to pay $18.3 million to settle charges that it overbilled investment advisory clients and misplaced client contracts.
SEC Charges Two Former Och-Ziff Executives With FCPA Violations
Two former executives at Och-Ziff Capital Management Group have been charged with being the driving forces behind a far-reaching bribery scheme that violated the Foreign Corrupt Practices Act (FCPA).
The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. We have decades of experience in securities litigation matters, including the defense of enforcement actions. We represent investors, financial professionals and investment firms, nationwide. For more information call 212-509-6544 or send an email.
