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By Marlene Y. Satter and Melanie Waddell, AdvisorOne |
September 13, 2012
Among recent SEC enforcement actions were charges that a broker stole client funds and used them to pay for his own personal expenses, including groceries and a mortgage.
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By Melanie Waddell, AdvisorOne |
September 10, 2012
The SEC said Monday that it has charged three former brokers at an Atlanta-based brokerage firm, JP Turner & Co., for “churning” the accounts of customers with conservative investment objectives, causing the customers to lose $2.7 million.