Embezzlement News

March 21, 2019 Orleans Investment Adviser Sentenced for Multi-Million Dollar Fraud and Identity Theft
August 29, 2018 Springfield investment adviser pleads guilty to stealing millions from clients
April 19, 2018 Financial Advisor Faces Federal Fraud and Money Laundering Charges Alleging Thefts from Ameriprise Clients and Other Victims
January 31, 2018 Two Ex-Morgan Stanley Brokers in Boston to Plead Guilty to Fraud
January 10, 2018 Financial advisor sentenced to 7 years for stealing $900k from client
December 14, 2017 Financial Advisor Roger Kroeger Arrested for Embezzlement
October 5, 2017 Mercer County 'investment adviser' will be sentenced for fraud
August 10, 2017 Hampton Roads financial adviser charged with criminal fraud
April 16, 2015 Ex-JPMorgan adviser charged in $20M fraud
November 19, 2009 Adviser sentenced in Cisneros fraud case
November 6, 2018 Ex-LPL advisor gets 20 years for fraud ahead of SEC, arbitration cases
March 8, 2013 Former Merrill Lynch Financial Advisor Sentenced For Embezzlement
August 20, 2018 Ex-Wells Fargo FA Faces Embezzlement Charges
April 23, 2018 Barred Ameriprise advisor arrested in alleged $2M fraud scheme
November 2, 2018 SEC Charges Investment Adviser With Running $3.9 Million Fraud
October 24, 2018 Remember Bernie Madoff? Big time financial fraud is back
December 23, 2018 Englewood financial advisor arrested on charges of $730,000 securities fraud
August 14, 2018 Financial advisor charged with embezzling
September 18, 2018 SEC charges local investment adviser, a former math teacher, with fraud
June 29, 2018 Advisor's alleged fraud costs Morgan Stanley $3.6M in SEC penalty
July 26, 2018 SEC charges advisor with $19M fraud in commissions scheme
June 19, 2018 State revokes registration for Grand Blanc area investor accused of embezzlement
March 23, 2018 Jackson Financial Adviser Arraigned On Embezzlement Charges
October 2, 2018 SEC charges Bellbrook man with ‘rob Peter to pay Paul’ scheme
September 13, 2017 Financial Advisor to Mike Tyson Sentenced to Prison
April 16, 2018 Investment adviser Michael Giokas admits $1.4 million fraud from clients

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The Federal Trade Commission, FBI, and state securities regulators estimate
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Capital Shield® is underwritten on behalf of Berkley FinSecure, a Berkley Company. Berkley member insurance companies are rated A+ (Superior), Financial Size Category XV by A.M. Best Company and A+ (Strong) by Standard & Poor’s. Founded in 1967, W. R. Berkley Corporation is one of the nation’s premier commercial lines property casualty insurance providers.

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“Key Person(s)” are investment professionals currently registered with the SEC and/or FINRA or can be bank chartered trust employees with proper designations, each must individually be named on the policy

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When there is a claim

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Your legacy of pledged charitable contributions

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Capital Shield® is underwritten by Berkley FinSecure, a Berkley Company.

Founded in 1967, W. R. Berkley Corporation is one of the nation’s premier commercial lines property casualty insurance
providers. Capital Shield is underwritten by Berkley FinSecure, a Berkley Company. Products and services are provided by one or more insurance company subsidiaries of W. R. Berkley Corporation. Not all products and services are available in every jurisdiction, and the precise coverage afforded by any insurer is subject to the actual terms and conditions of the policies as issued. Certain coverages may be provided through surplus lines insurance company subsidiaries of W.R. Berkley Corporation through licensed surplus lines brokers. Surplus lines insurers do not generally participate in state guaranty funds and insureds are therefore not protected by such funds. For additional information concerning W.R. Berkley Corporation’s insurance company subsidiaries, click here

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