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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. ....

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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. ....

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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. ....

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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. ....

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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. ....

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