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A former registered broker has been convicted of evading millions of dollars in income taxes and using the proceeds to pay for his lavish lifestyle, reports ThinkAdvisor. 65-year-old James Millegan of McMinnville, Oregon was found guilty recently by a federal jury of...
The Certified Financial Planner Board of Standards is calling on financial planning firms to improve their efforts to bring more diversity to the profession, according to a report by Financial Advisor. The CFP Board’s CEO, Kevin Keller, addressed the topic following...
An Arizona couple has been sentenced to prison after they were convicted of bilking investors out of millions of dollars through false statements, InsuranceNewsNet reports. A federal judge sentenced 73-year-old Michael Feinberg and 80-year-old Betsy Feinberg of Tucson...
The Securities and Exchange Commission has charged two men with facilitating securities trading despite being unregistered with the commission as broker-dealers. In a news release, the SEC announced the charges against Jeffrey K. Galvani, Stuart A. Jeffery, and two...
The Financial Industry Regulatory Authority has barred a former broker for J.P. Morgan who was the subject of multiple client complaints against him, ThinkAdvisor reports. FINRA released details of the case involving 75-year-old Edward L. Turley in a letter of...
A former employee of a New York investment advisory firm has admitted to stealing from the company and its clients, according to InsuranceNewsNet. Federal prosecutors announced that 47-year-old Jennifer Campbell of Niagara Falls pleaded guilty to a single count of...
The Securities and Exchange Commission has issued a report on its enforcement results for the fiscal year 2022. In a news release, the SEC said it had filed a total of 760 enforcement actions for the year, a 9 percent increase from fiscal year 2021. The commission...
The Certified Financial Planner Board of Standards is proposing several changes to its procedural rules to reform elements of its enforcement process, according to InvestmentNews. The board released the changes last week for public comment, setting January 23, 2023 as...
The Financial Industry Regulatory Authority has suspended and fined a former broker for Merrill Lynch who was discharged from the firm over his outside business activities, AdvisorHub reports. FINRA announced the action against Christopher T. Eriksson, who was based...
A former broker for Wells Fargo Advisors has been barred from the industry in a case involving money he was paid in error, according to AdvisorHub. The Financial Industry Regulatory Authority took the action against Bruce L. Davis of Sacramento, California. He was...
