The Financial Industry Regulatory Authority has filed a complaint against a California broker over what it said was excessive trading in the accounts of investors, reports AdvisorHub. The allegations against Stewart Ginn are from the period between July 2020 and...
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Financial Advisor Misconduct
SEC charges Mass. advisor with defrauding clients on annuity sales
A Massachusetts-based investment advisor has been charged with defrauding his clients in connection with the sales of annuities, InvestmentNews reports. The Securities and Exchange Commission filed a complaint in federal court against 55-year-old Jeffrey Cutter and...
Virginia financial advisor charged with defrauding investors and clients
A Virginia financial advisor has been charged with engaging in a fraudulent investment scheme, according to Investment News. The Securities and Exchange Commission detailed the charges against Ryan R. Riley in a complaint filed in U.S. District Court for the Eastern...
SEC charges NY-area advisor twins with swindling clients out of over $5 million
The Securities and Exchange Commission has charged a pair of twin brothers from the New York area with swindling clients out of over $5 million through fraudulent activities, reports Financial Advisor. The SEC filed a complaint in federal court for the Eastern...
SEC charges father and son team of financial advisors with fraud
A father and son duo of financial advisors who worked together at a firm in Pennsylvania have been charged with fraud, the Securities and Exchange Commission announced. The charges were filed against 66-year-old Kevin Kane and 36-year-old Sean Kane, who were...
