Two residents of Washington who ran a futures scam solicited over $11 million from investors and used their association as leverage for the scam. Laurence Hong (aka Sung Hong) and his wife Grace Hong (aka …
CFTC Fines Couple on $13 Million Investment Fraud Read More »
Four women, who were employed in a firm based in Israel, were impeached in Maryland for a multimillion-dollar investment fraud strategy. Employees of Yukom Communications impersonated to be from other nations, falsified their so-called certified qualifications …
Maryland Investment Fraud Case Includes 4 Women From Israel Read More »
CIM Securities, LLC (CRD® #120852, Centennial, Colorado) October 3, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was given out in which the company was criticized and penalized $15,000. Without confessing or refuting …
Broker Dealer & Firms Fined By FINRA in December 2018 Read More »
On Wednesday, William Galvin, the head of the Massachusetts Securities Division declared a thorough investigation of 63 brokerage companies who were involved in selling GPB Capital Holdings private placements. Update: There are several GPB fraud lawsuits by …
Massachusetts Securities Division Investigates GPB Capital for Fraud Read More »
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