broker charged

Broker Charged With Defrauding Investors – SEC.Gov

Washington DC/December 8, 2017 (STL.News) – The Securities and Exchange Commission charged a registered representative in Pennsylvania with operating a long-running offering and investment advisory fraud. The SEC’s complaint, filed in federal court in Philadelphia, alleges that Paul W. Smith raised approximately $2.35 million from approximately 30 investors – many of whom were his brokerage customers … Continue reading Broker Charged With Defrauding Investors – SEC.Gov