A former Compass Financial Solutions employee has been convicted on multiple charges for his role in a $3 million dollar Ponzi scheme by a Colorado jury. The man, Kenneth Brewington of Corona, California is a former executive of the Denver-based...
Nevada-based investment adviser Luis Petrossi was convicted by a Pennsylvania federal jury of defrauding investors out of $1.1 million. This follows a 2017 conviction in New York federal court in a $131 million investment scheme. Petrossi...
The leader of a $3 million stock-trading scheme has admitted to violating confidentiality agreements with investment banks and short-selling securities before offerings were publicly disclosed. Steven Fishoff, of California, pled guilty to one...
Dimond Kaplan & Rothstein, P.A. is reviewing another potential FINRA arbitration claim against Los Angeles-based brokerage firm Wedbush Securities, Inc. to recover energy-sector investment losses for another elderly investor. Broker...
The Securities and Exchange Commission (SEC) has accused Los Angeles-based brokerage firm Wedbush Securities for failing to supervise a broker who may have been involved in the Wedbush pump-and-dump scheme. Wedbush will face a public hearing...
The U.S. Securities and Exchange Commission (SEC) announced a $3 million settlement to resolve claims in a California home audio securities fraud case a regarding a company accused of a fraudulent, multimillion-dollar unregistered securities...
