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From U.S. Securities and Exchange Commision. Original Press Release found here. Washington D.C., Aug. 29, 2019 — The Securities and Exchange Commission today charged a Tallahassee-based investment adviser firm and its two former principals with defrauding investors, most of whom were retired NFL players who had joined a class-action lawsuit against the league claiming they suffered […]

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From U.S. Securities and Exchange Commision. Original Press Release found here. On August 23, 2019, the Securities and Exchange Commission charged Marcus Boggs, an investment adviser representative at the Chicago office of a large financial services firm, with stealing more than $1.7 million from at least three of his clients. According to the SEC’s complaint, Boggs, without […]

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From U.S. Securities and Exchange Commision. Original Press Release found here. The Securities and Exchange Commission filed an enforcement action on August 12, 2019 in federal court in Springfield, Massachusetts, charging investment adviser Richard G. Duncan, a resident of East Longmeadow, Massachusetts, with defrauding two advisory clients who were retail investors by persuading them to invest over […]