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Broker Sanctioned For Getting Tangled Up in Ponzi Scheme

March 30, 2012 | Posted by : Guiliano Law Group | Investment and Regulatory News, Ponzi Schemes | 0 Comments

Last month Leland O. Stevens, a former broker with Great American Advisors Inc., settled a disciplinary action against him after he served up his unwitting customers to a Ponzi scheme. The Financial Industry Regulatory Authority (FINRA) filed a complaint against Stevens last year for his role in the sale of promissory notes that turned out […]

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Broker Sanctioned For Getting Tangled Up in Ponzi Scheme

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