April 13, 2015 The Insurance Journal reports that Constance Gail Fortune, 61, was arraigned in Los Angeles Superior Court and charged with felony for financial elder abuse as a result…
read moreMarch 12, 2015-North Carolina The North Carolina Securities Division of the Department of the Secretary of State announced that Micah Christopher Wilson, 59, of Gastonia was charged with felony securities…
read moreApril 3, 2015 The FBI announced that Matthew Carley, of Bozeman, Montana, was sentenced to 24 months in prison for his role in a stock manipulation scheme involving Ashburn, Virginia,…
read moreApril 2, 2015 The registration of Ronald Paul Rafaloff of the Bronx had his registration revoked by the New Jersey Bureau of Securities and ordered him to pay $200,000 in…
read moreMarch 31,2015 The U.S. Commodity Futures Trading Commission (CFTC) file a civil enforcement action in the District Court for the Middle District of Florida against Maverick International and principals Wesley…
read moreMarch 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc. failed to supervise Michigan broker Lewis J.…
read moreMarch 3, 2015- Tallahassee, Florida The Florida Office of Financial Regulation (OFR) announced that John Edward Simpson was arrested in Tarpon Springs, Florida, and has been charged with securities fraud,…
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