Wire Fraud

• Dec 28, 2024 SEC Fines Morgan Stanley $15 Million for Inadequate Supervision Over Failure to Safeguard Customer Funds

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• Nov 29, 2023 Wedbush Fined $350k for Approving Fraudulent Wire Transfers Totaling $6.6 Million

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• Mar 18, 2022 Former Wells Fargo & LPL Financial Broker Mario Rivero Arrested for Stealing $680,000 From Clients

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• Jan 27, 2022 Four United Development Funding Execs Guilty of Real Estate Fraud Scheme

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• Dec 22, 2021 American Portfolios Financial Services Cited After Assistant Kimberly Sredich's Theft from Clients & Rep Mark Hopkins' Misappropriation, $1 Million SEC Case

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• Oct 18, 2021 Raymond James' Mark Boucher Criminally Charged in $2 Million Fraud

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• Apr 1, 2021 Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison

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• Jan 7, 2021 LPL Financial Fined $6.5 Million for Supervisory Deficiencies in Wake of $1+ Million Ponzi Scheme

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• Sep 2, 2020 Raymond James Broker Mark Boucher Accused of $2.2 Million Fraud, Stealing From Dead Client

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