May 12, 2021
A California federal judge on Tuesday refused to dismiss U.S. Securities and Exchange Commission claims that a dad impersonated his son in order to give professional financial advice to clients when he was unable to access brokerage platforms himself.
January 15, 2021
The U.S. Securities and Exchange Commission on Friday filed suit against a father-son duo behind a California wealth management firm, accusing the father of impersonating his son to advise clients despite being banned from broker-dealer platforms.