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Search Results: colorado
Results 50-60 of about 83
Date: January 10, 2019
Levine was a Morgan Stanley broker based in Denver, Colorado between 2013 and July 2018 when he stepped down. His next employer was First Financial Equity Corp., but that brokerage firm fired him a few weeks later after he did ...
Date: November 6, 2018
Camarco, who worked for the brokerage firm in Colorado, was indicted by a grand jury last year on multiple counts of securities fraud. She pleaded guilty to one count of each. According to the broker fraud case against her, between ...
Date: December 21, 2017
Woodbridge and Shapiro are said to have used investor money to buy nearly 200 commercial and residential properties in California and Colorado. Continue Reading ›
Date: November 5, 2017
In a subpoena enforcement action, the US Securities and Exchange Commission is ordering 235 LLCs in Colorado and Delaware to provide documents related to its probe into whether Woodbridge Group of Companies, LLC, a California-based real estate and investment company ...
Date: September 29, 2017
Former LPL Broker Indicted for $850K Securities Fraud and Theft Sonya Camarco, an ex-LPL (LPLA) financial broker, has been indicted in Colorado on seven counts of theft and six counts of securities fraud. She is accused of taking over $850K ...
Date: August 30, 2017
Securities Cases: FINRA Fines and Suspends Ex-Morgan Stanley Broker For Trying to Settle Without Firm Authorization, SEC Accuses Connecticut Financial Representative of Elder Financial Fraud and Freezes Assets of Ex-Colorado Broker for Allegedly Stealing Investor Funds
Date: March 8, 2017
Fortenberry also ran Wattenberg Energy Partners, a company that raised money for oil and glass drilling projects in Colorado. He admitted to establishing the company under his son’s name because the US Securities and Exchange Commission was already investigating him ...
Date: December 17, 2016
They alleged that Mid Atlantic Capital Corp. was liable for negligent misrepresentation, negligence, omissions, breach of fiduciary duty, breach of contract, negligent supervision, restitution, common law fraud, and violation of Colorado’s Securities Act.
Date: February 2, 2016
The deal was reached with the Federal Deposit Insurance Corp., which sued the investment bank on behalf of Colonial Bank in Alabama, Security Savings Bank in Nevada, and United Western Bank in Colorado. All three banks failed after or during ...
Date: February 20, 2015
SEC Cases: Brothers-In-Law Charged in Louisiana Insider Trading Scam, NY-Based Broker-Dealer Accused of CDO Liquidation-Related Fraud, & Colorado Ponzi Scam is Halted
