Financial Investigations April 18, 2018
Phony Debt Relief Scammers Pay $35 Million in Consumer Redress
Phony Debt Relief Operation Three mastermind scam artists, Jeremy Marcus, Craig Smith, and Yisbet Segrea ran an extensive phony debt…
Financial Investigations April 17, 2018
Faith Based Fraud Scheme that Defrauds Elderly Investors
Prominent Pastor Defrauds Elderly Investors Late March, 2018, the Securities and Exchange Commission charges Kirbyjon Caldwell, Senior Pastor at Windsor…
Financial Investigations April 17, 2018
Epic Gatekeeping Failure, Merrill Lynch, and Unregistered Securities
Unregistered Securities and China-Based Issuer The Securities and Exchange Commission reaches a settlement for charges against Wall Street behemoth, Merrill…
Financial Investigations April 17, 2018
Rogue Broker-Dealer and Pump-and-Dump Fraud Scheme
Pump-and-Dump: By Any Means Necessary The Securities and Exchange Commission charges Wedbush Securities Inc., for failing to supervise employee Timary…
Financial Investigations April 16, 2018
Mozido Company Founder Charged in Fraudulent Scheme
Top Level Executives and a Revolving Door Mozido Inc, headquartered in Austin, Texas, is a financial technology (FinTech) company that…
Financial Investigations April 16, 2018
Rampant Fraud and Unregistered Initial Coin Offering
Initial Coin Offering: Raise The Money and Run? Centra Tech co-founders Sohrab “Sam” Sharma and Robert Farkas are in “hot…
Financial Investigations April 16, 2018
SEC Issues Government Impostor Investor Alert
Government Impostor Scam Artists In an increasingly hi-tech world, fraudsters are forced to be more creative than ever. This time,…
Financial Investigations April 16, 2018
SEC Freezes NASDAQ Listed Stock Sale for Longfin, amid Cryptocurrency Acquisition Announcement
SEC Freezes Longfin Corporation Stock Sale Proceeds The Securities and Exchange Commission continues to investigate the circumstances surrounding the massive…
Financial Investigations April 16, 2018
Investment Adviser Firms Fined $12 Million by Securities and Exchange Commission
Investment Adviser Firms Fined Geneos Wealth Management Inc., Securities America Advisors Inc., and PNC Investments LLC, are three investment adviser…
Financial Investigations April 16, 2018
Texas Company Charged by SEC for Ponzi Scheme Targeting Senior Citizens
Senior Citizens Fall Victim to Ponzi Scheme On April 6, 2018, the Securities and Exchange Commission (SEC) charged a Texas…
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