U.S. District Court for the Northern District of Georgia, McClintock and Alexander

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  SEC Enforcement Roundup: High School Dropout ‘Advisor’ Busted for Fraud

  By Marlene Y. Satter, AdvisorOne  |  November 20, 2012

  The SEC charged a man who was high school dropout and a phony “investment advisor” who spent his clients’ funds on drugs and gambling; and a group of former high school buddies were charged with engaging in insider trading.

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  SEC, FINRA Enforcement Roundup: Merrill Slapped With $500,000 Fine

  By Marlene Y. Satter, AdvisorOne  |  September 27, 2012

  Recent FINRA actions include a $500,000 fine against Merrill Lynch for failing to file required reports, and a joint action with the SEC and the exchanges against Hold Brothers.

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  SEC, FINRA Enforcement Roundup: $268M Insider Trading Scheme Busted

  By Marlene Y. Satter, AdvisorOne  |  July 27, 2012

  Charges of insider trading in a secondary stock offering, accounting violations and efforts by a phony company president to push a fake penny-stock investment were among enforcement actions taken by the SEC.

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  SEC, FINRA Enforcement Roundup: FBI Hunts Fugitive Advisor

  By Marlene Y. Satter, AdvisorOne  |  July 5, 2012

  In recent enforcement actions, an advisor on the lam who defrauded clients of nearly $40 million had his assets frozen by the SEC, and FINRA launched a pilot program for large arbitration cases.