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June 1, 2015 Henry Irving Ramer was found guilty by a federal jury of operating a multi-mllion dollar investment scheme in which over 200 investors nationwide lost all or nearly…
read moreMarch 17,2015-Irving Texas The FBI announced that Michael David Carroll, 39, pleaded guilty to the federal offense of failing to surrender to serve a 70 month sentence in an investor…
read moreApril 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 moreApril 3, 2015- Atlanta Stafford S. Maxwell, 46, of Mableton, Georgia, was arraigned on charges of orchestrating a multi-million dollar Ponzi scheme involving the foreign exchange market through his company…
read moreMarch 25, 2015-Austin, TX John Morgan, Securities Commissioner for the State of Texas, entered an Emergency Cease and Desist Order against Lonestar Mineral Assets or Dallas and Colleyville, TX, and its…
read moreJanuary 9, 2015 Worth Financial Group entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it failed to establish adequate supervisory…
read moreMarch 5, 2015 The Buffalo News reports that Gregory W. Gray, Jr. of Buffalo, New York, recently charged by the SEC for operating a ponzi-like scheme, was arrested at his…
read moreMarch 12, 2015 RCS Capital Corporation announced that it closed the acquisition of Girard Securities. Girard Securities has over $10 billion of assets and 250 financial advisors. They become a part of the Cetera…
read moreMarch 5, 2015 RCS Capital Corporation announced that it closed the acquisition of VSR Group, Inc. and VSR Financial Services, Inc., which had been announced months ago. VSR Financial is based…
read moreMarch 2, 2015-Colleyville, Texas The U.S. Securities & Exchange Commission (SEC) filed a complaint seeking an injunction alleging that Gary S. Williky of Colleyville, Texas perpetrated an illegal market manipulation and…
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