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Search Results: colorado
Results 40-50 of about 76
Date: July 22, 2020
Colorado Investment Firm Fined $200K For Investing Unqualified Buyers Into Unsuitable Investments The US Securities and Exchange Commission (SEC) has ordered First Western Capital Management Co. to pay a $200K fine over allegations that, over a 7-year period, it invested ...
Date: November 1, 2019
Both work out of Lexington, South Carolina and are the subject of numerous complaints by customers, many of whom are based in Colorado and were sold these CDs. Now, the Colorado Division of Securities is considering pulling Centaurus’s license in ...
Date: July 16, 2019
Investors who lost money after investing in Aequitas Management LLC , which is accused of running a $350M Ponzi scam, have arrived at a $234M settlement in their fraud case against EisnerAmp LLP, Deloitte & Touche LLP, TD Ameritrade, Duff ...
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 ...
