William P. Hicks

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  SEC Enforcement Roundup: Broker Charged With Stealing to Pay for Mortgage, Groceries

  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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  SEC Charges 3 Brokers for Churning, Costing Clients $2.7 Million

  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.

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  SEC, FINRA Enforcement Roundup: Football Coach’s Ponzi Scheme; Wells Fargo Slapped

  By Marlene Y. Satter, AdvisorOne  |  August 16, 2012

  Recent actions by the SEC and FINRA ensnared a former Hall of Fame college football coach charged in an $80 million Ponzi scheme and a Wells Fargo vice president for failing to disclose the risks of mortgage-backed securities.

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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.