CFP Board Censures 22 CFPS!

Certified Financial Planner Board of Standards, Inc. (CFP Board) Censures 22 CFPS!

The Certified Financial Planner Board of Standards, Inc. (CFP Board) announced today that it would impose public sanctions on 22 CFP(r), current or former, professionals and candidates for CFP(r) certification. These sanctions will take effect immediately or at the time indicated in each case. CFP Board has taken public sanctions against 22 CFP(r), current or …

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SEC Actions

SEC Actions Against Pagartanis, Global Trading Institute, TCFG Investment Advisors, Brent Borland

The SEC filed four civil injunctive proceedings last week and no administrative proceedings. This excludes tag-along or similar proceedings. Offering fraud. SEC v. Pagartanis. Civil Action No. 25242, which was filed on October 7, 2021, is an earlier action that names Steven Pagartanis as the defendant. Defendant was an investment professional and sold investments to the public …

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Naseem Salamah Targeted Elderly Clients For Fraud

Naseem Salamah Targeted Elderly Clients For Fraud

Injunctive relief, disgorgement, prejudgment interest, and civil penalties have been sought by the Securities Exchange Commission (SEC) in their complaint charging (now former) investment advisor Naseem Salamah with the violation of several federal securities laws. Naseem Salamah Fraud Allegation The action arises from allegations of Salamah having stolen over $968,600 from three elderly clients through …

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