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New York

Financial Planner Jailed for Ponzi Scheme

By Tom Costello of Costello Law Group  Financial planner and vice president of Capital Financial Planning, LLC, Frederick Monroe, was arrested for allegedly swindling clients out of $1.26 million. New York State Attorney General Eric Schneiderman believes that Monroe had been operating a Ponzi scheme since 2008. Monroe had clients issue checks to […]

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Former Compliance Officer Faces up to 20 years in Prison

By Tom Costello of Costello Law Group  The Securities and Exchange Commission (SEC) has charged William Quigley, a former chief compliance officer of Westbury, New York based brokerage firm Trident Partners, Ltd, with fraud. According to the SEC, Quigley solicited foreign investors to invest in well-know companies along with a few start-ups and […]

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