Nov 25th, 2015

Edward Jones Financial Advisor Bernard Parker Faces Criminal Charges For Operating Ponzi Scheme in Indiana, Pennsylvania

Bernard Parker stole investor money to remodel his house, but now it looks like he will be living in a federal penitentiary. According to the Securities […]
Nov 10th, 2015

Pennsylvania Investment Advisers Defraud Hundreds of Investors of Over $50 Million

A father-son investment team in Pennsylvania recently settled a lawsuit filed by the Securities and Exchange Commission (SEC) in federal court. According to the complaint, Kevin […]
Jun 10th, 2015

Financial Advisor In Lansdale, Pennsylvania Borrows Investor Money

Robert Forest Held Jr., a financial advisor formerly employed with Hornor Townsend & Kent Inc. (“HTK”), has been suspended and fined for borrowing funds from a […]
May 19th, 2015

Wells Fargo Financial Advisor Recommends Customers Make Risky $2,000,000 Investment To Get Large Commissions

Douglas Jay Melzer (“Melzer”) in Mars, Pennsylvania has been barred from the securities industry for making biased recommendations to customers to invest in private securities. Melzer […]
May 5th, 2015

Worcester Financial Advisor Fined for Hiding Outside Business Venture from Employer

Perry Stephen Abbonizio of Worcester, Pennsylvania was fined and suspended for participating in outside business activities, and persuading his customers to invest, without providing notice to […]