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Articles Tagged with SEC Investigation

On October 21, 2019, Ronald Roach (CRD#: 3216784) pled guilty to two felonies: conspiracy to commit wire fraud, as well as violations of Section 17(a) of the Securities Act, in conjunction with his involvement in a massive Ponzi scheme, according to his BrokerCheck record accessed on December 18, 2019 He entered his plea before the […]

The Securities and Exchange Commission (SEC) has charged former LPL Financial broker Kerry Hoffman (CRD#: 1061740) with securities fraud. He allegedly sold unregistered securities of GT Media, Inc. according to the SEC’s press release and his BrokerCheck record accessed on September 5, 2019. On July 1, 2019, the SEC charged Kerry Hoffman with securities fraud, […]

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