Securities Fraud and Mismanagement

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NEXT Financial Supervisory/REIT Problems

by | Dec 7, 2017 | Uncategorized

NEXT Financial Group recently entered into a regulatory settlement with FINRA, the regulator that oversees securities brokerages, concerning lapses in supervision that have allegedly led to fraud in investor accounts.  This is part of a continuing and ongoing series...

William P. Carlson of Elhert

by | Feb 24, 2017 | Uncategorized

On February 21, 2017, he Securities and Exchange Commission charged William P. Carlson, Jr., a Deerfield, IL investment advisor with misappropriating more than $900,000 from a client’s account through more than 40 unauthorized transactions.  Deerfield is in the...