Unlicensed Adviser Charged With $4M Securities Fraud In NC

By Hayley Fowler · May 27, 2025, 9:31 PM EDT

Federal prosecutors in North Carolina have charged an unlicensed California investment adviser with fraud and money laundering after he allegedly lured more than 30 victims into investing more than $4 million...

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Documents

Indictment

Case Information

Case Title

Securities and Exchange Commission v. Kubler et al

Case Number

Court

Nebraska

Nature of Suit

Securities/Commodities

Date Filed

September 14, 2023

Case Title

Case Number

Court

North Carolina Western

Nature of Suit

Date Filed

May 22, 2025

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