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SEC Reg BI case charges Atria subsidiary over alt sales

The action against Atria Wealth Solutions’ Western International Securities offers a substantive hint on the future potential matters under the rule.

United statesAndy gitipityaponJulian arenzonSteven grahamNancy coleLos angelesPatrick eganBrian rubinLouis straneyGary genslerThomas swanInternational securitiesHoldingl bondsAtria wealth solutionsSecurities exchangeBeneficient company group

Financial advisor David W Schamens charged with fraud

David W. Schamens defrauded clients for $6.8 million in a Ponzi scheme despite being banned by the SEC decades earlier, according to investigators.

New yorkUnited statesNew jerseyNorth carolinaRichard bestDavidw schamensLouis straneyDavid schamensTradestream universityAlgo fundTradestream algo fundLtd tradingStream algoArbitration insightYork regional director richard bestSecaucus based algo fund

FINRA charges Fusion Analytics Securities with fraud

Fusion Analytics Securities sold $1.8 million in bonds and collected 8% commissions while making material misrepresentations, the regulator says.

United statesNew yorkCoral springsMichaelj conteLouis straneyFusion analytics holdingsFlorida based fusion analytics securitiesWorden capital managementFusion analyticsFusion analytics investment partnersFusion analyticRegulation and compliance

Oklahoma University Law launches fraud education event for Sooners athletes

OU’s law school enlisted a former player from one of its fiercest rival schools to help students understand how to avoid the pitfalls of misconduct.

United statesUniversity of texasRick foxMegan wischmeier shanerB jo anne gilbertTim duncanJoe castiglioneLouis straneyDarren sprolesLaura palkKatheleen guzmanSusanne wilkinsonLeonard davisUniversity of oklahoma college lawDallas cowboysOklahoma college

Former advisor pleads guilty to SEC charge of stealing $1 2M from the elderly in Ponzi scheme

Joseph Orazio DeGregorio convinced his victims to invest in promissory notes and companies that never even existed.

New yorkUnited statesNew jerseyJoseph orazio degregorioLouis straneyGlobotix incEastern districtBlue omegaRegulation and complianceIndustry newsLaw and regulationWealth management

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