It’s not terribly difficult to research people in the investment profession, thanks to such resources as FINRA BrokerCheck and the NFA’s BASIC database. Along with a Google or Lexis/Nexis search, and you can find out a ton of information about people. These resources won’t protect you from those who have not yet run afoul of the law, but they are perfect starting points
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In college, the first quarter of accounting is simply bookkeeping: learning how to do debits and credits, then close out the books and prepare financial statements. It’s important work, but it’s also bound by specific rules
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While the youngs are buying cryptocurrency, the olds prefer old-fashioned shiny metal. That might be why Jeffrey Santulan targeted retirees in what the SEC says was a multimillion-dollar fraudulent scheme. Santulan owns a firm called Safeguard Metals which has one office in the Los Angeles suburb of Woodland Hills
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German Nino was a financial advisor for UBS in Miami, specializing in work with high-net-worth clients. He apparently decided to step out on his wife, and he needed money to impress his new girlfriends. He joined UBS in 2012. One of his clients was a retired couple with $11 million in assets
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For the second week in a row, the SEC didn’t announce any actions against wrongdoers, but the CFTC was heaping additional sanctions on a convicted fraudster. William S. Evans III of Harrodsville, KY was ordered to return $17 million to investors in his Ponzi scheme, billed as a commodities trading fund
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