The Securities Law Blog from SECLaw.com

The Securities Law Blog has been providing investors, advisors and attorneys with news and expert commentary from top securities attorneys and regulators since 1995. Updated daily.

Home
SECLaw.com
Mark Astarita
Contact Us
Full RSS Feed
Amazon

Tuesday, August 17, 2021

Advisor Charged With Targeting Elderly Clients In $8M Fraud

Email This BlogThis!Share to Twitter Share to Facebook Share to Pinterest

Advisor Charged With Targeting Elderly Clients In $8M Fraud:

Martin A. Ruiz was arrested for allegedly using investor funds he controlled for personal expenses, the U.S. Attorney said.

Newer Post Older Post Home

We Answer Questions!

Name

Email *

Message *

You Didn't Know You Would be Taxed on Your Profits?

Yes Virginia, when you have trading profits, the state and federal government want their cut. Robinhood Traders Face The Taxman After Fallin...

Stock Market Lawyers

If you have a problem with a stock brokerage firm, either as an investor or a financial professional, call

Sallah Astarita & Cox, LLC

Let's find out if our attorneys, who are former SEC Enforcement attorneys and broker-dealer counsel, can help you.

Call 212-509-6544
Email Us

Search

Pages

About Mark Astarita
How Do I Respond to a Wells Notice
Tips for Responding to an SEC Subpoena
Introduction to Securities Arbitration
Insider Trading - the Legal and Illegal

This Month's Popular Posts

Thirty Months In Prison For Merrill's Former Head of Investment Banking
SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month
SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
Register for the SEC’s 43rd Annual Small Business Forum April 16-18

Popular Posts

Tips for Responding to an SEC Subpoena
Reminder: Parking Stock is Illegal
SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client
UBS Puerto Rico Investment Problems Expand
Sallah Astarita & Cox Reviewing Potential Claims Against Other Brokerage Firms for Investments in Puerto Rico Municipal Bonds

Blog Archive

Subscribe to The Securities Law Blog

SECLaw.com

About Us and What We Do

Mark Astarita Bio
Securities Lawyers
Sallah Astarita & Cox, LLC
Beam & Astarita
SECLaw.com
SEC Home Page
FINRA Home

Financial Planning Feed

Tweets by @SECLaw

Categories

Accredited Investor Administrative law judge Administrative proceeding Advisers Arbitration Astarita Commentary Auction Rate Securities Bank of America Broker Transition Brokers Citigroup Corporate Finance Deferred Comp Enforcement FINRA FINRA Arbitration FINRA Enforcement Firms Fraud Goldman Sachs Hedge Funds Insider Trading Investigations Investing JPMorgan Litigation Notes Madoff Mark Cuban Merrill Lynch Morgan Stanley Personal Finance Ponzi Private Placements Reg D Reg FD Reg S-P Regulation RIAs SEC SEC Enforcement SEC Rule 10b-5 Securities Act of 1933 Securities Fraud Social Media U.S. Securities and Exchange Commission UBS Wachovia Wells Fargo Wells Fargo Advisors Wells Notice Wells Submission Whistleblower Whistleblowers

The Securities Law Blog is edited by nationally known securities attorney Mark Astarita. Mark is also the editor of our main site, SECLaw.com - The Securities Law Home Page. He is a partner in the securities law firm of Sallah Astarita & Cox, and his personal lawyer website is at Securities Lawyer.

Have a question? Email Mark at mja@sallahlaw.com, or use our securities lawyer contact form.

Total Pageviews

Nothing on this site is legal advice. Nor does viewing this site or communicating with the authors through the site form an attorney client relationship. This blog is intended to provide information to the public, but may be deemed by the New York Courts to be an advertisement. If so, we are required by New York Court Rule 1200.7 to state "Attorney Advertising. Prior results do not guarantee a similar outcome." The blog is part of the online legal information site SECLaw.com - The Securities Law Home Page, and the product of the work of securities lawyer Mark J. Astarita and the securities law firm of Sallah Astarita & Cox, LLC, with offices in New York, New Jersey and Florida.

Sallah Astarita & Cox

Copyright 2023 © Mark J. Astarita.. Powered by Blogger.