Try our Advanced Search for more refined results
- Law360
- Law360 UK
- Law360 Pulse
- Law360 Employment Authority
- Law360 Tax Authority
- Law360 Insurance Authority
- Law360 Real Estate Authority
- Law360 Healthcare Authority
- Law360 Bankruptcy Authority
- Products
- Lexis®
- Law360 In-Depth
- Law360 Podcasts
- Rankings
- Regional Powerhouses
- Law360's MVPs
- Women in Law Report
- Law360 400
- Diversity Snapshot
- Practice Groups of the Year
- Rising Stars
- Titans of the Plaintiffs Bar
- Sections
- Adv. Search & Platform Tools
- About all sections
- Browse all sections
- Banking
- Bankruptcy
- Class Action
- Competition
- Employment
- Energy
- Expert Analysis
- Insurance
- Intellectual Property
- Product Liability
- Securities
- Beta Tools
- Track docs
- Track attorneys
- Track judges
Securities and Exchange Commission v. Keystone Capital Partners, Inc. et al
Case Number:
1:17-cv-02873
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
-
March 22, 2022
SEC Wins Atlanta Trial Over $1.7M Retirement Savings Scam
The U.S. Securities and Exchange Commission scored an Atlanta jury verdict Monday finding a former affiliate of LPL Financial illegally netted $1.7 million by convincing hundreds of federal employees to shift their retirement savings into higher-fee investments.
-
July 31, 2017
SEC Says Brokers Made $1.7M Lying To Federal Employees
The U.S. Securities and Exchange Commission sued four former broker-dealers in Georgia federal court on Monday, saying they pocketed $1.7 million by deceiving hundreds of federal employees into shifting their Thrift Savings Plan retirement accounts into higher-fee variable annuity products.