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Securities and Exchange Commission v. Broidy et al
Case Number:
1:16-cv-05960
Court:
Nature of Suit:
Judge:
Government Agencies
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May 26, 2017
SEC, Investment Adviser Settle On $1.7M Disgorgement
The head of a wealth management firm has agreed to pay approximately $1.7 million to settle a U.S. Securities and Exchange Commission suit in New York federal court, following an earlier guilty plea to an investment adviser fraud charge in a parallel criminal suit.
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March 02, 2017
Finance Guru Cops To Fleecing Rich Clients, Looting Trusts
Broidy Wealth Advisors LLC CEO Marc Broidy pled guilty to a count of investment adviser fraud Thursday in Brooklyn federal court, admitting to withdrawing $640,000 in excess management fees and misappropriating $865,000 worth of stock held in trusts.