SEC Fine

SEC Files Lawsuit Against Hill, Shelly, CETA and FIC For Fraud

The Securities and Exchange Commission (SEC) has filed an emergency lawsuit against  Roy Hill and Eric Shelly, and their controlled entities for engaging in a fraudulent securities offering Clean Energy Technology Association, Inc. (CETA) and Freedom Impact Consulting, LLC (FIC). It has raised over $155 million from more than 500 investors. The U.S. District Court […]

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FINRA Orders Oppenheimer to Pay Almost $14M to Horizon Private Equity Ponzi Scheme Victims

FINRA Orders Oppenheimer to Pay Almost $14M to Horizon Private Equity Ponzi Scheme Victims

The Financial Industry Regulatory Authority (FINRA) mandated that Oppenheimer & Co. Inc. compensate several victims of a Ponzi scheme with nearly $14 million. The scheme, which targeted 400 elderly investors, was orchestrated by a former Oppenheimer broker, John J. Woods. These investors purchased shares in the purported Ponzi scheme, known as the Horizon Private Equity

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LPL Financial Advisor Jerome Aron Complaints From GWG Holdings Sales

LPL Financial Advisor Jerome Aron Receives Complaints From GWG Holdings Sales

Jerome Samuel Aron (CRD# 5213998) is a financial advisor currently working at Signet Wealth Management, which operates under the business name LPL Financial. With over 11 years of experience in the financial industry, Aron has built a reputation as a wealth manager. However, recent complaints and investigations related to his professional conduct have raised concerns

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