brokerwatch

 

Thomas L. Hampton, a Scottsdale, Arizona investment professional, pled guilty to commodities fraud in connection with an investment scheme that defrauded investors out of millions of dollars between September, 2010 and September, 2011. Hampton managed Hampton Capital Markets (HCM). HCM held over $4 million of investors’...

Moving at a pace that will soon make him a strong competitor with industry giants LPL and Ameriprise Financial, real estate investor Nicholas Schorsch has purchased five independent brokerage firms since June, 2013.  In June, Schorsch announced the purchase of First Allied Holdings for an undisclosed amount. ...

Richard Schwartz, an investment advisor formerly in Kokomo, Indiana, has been accused by regulators of perpetrating a fraudulent investment scheme that victimized scores of investors across the country, under the umbrella of RAS & Associates, his investment advisory firm. Richard Schwartz was a licensed securities stockbroker,...

George J. Bussanich, a 55-years old man from Park Ridge and his son George Bussanich, 34-years old, of Upper Saddle River, are facing charges for engaging in securities fraud through the sales of unregistered notes in New Jersey. The Bussaniches allegedly sold unregistered notes to unsuspecting investors and promised...

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