May 14, 2018

Leon Vaccarelli Indicted on Criminal Charges for Alleged Theft

On May 14, 2018, the Securities and Exchange Commission (SEC) announced that federal prosecutors filed federal criminal charges against Leon Vaccarelli. A federal grand jury in New Haven, Connecticut returned a 12-count criminal indictment against Vaccarelli for fraud and money-laundering.  The charges are in connection with allegations Vaccarelli defrauded individuals out of more than $1

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James Knee, Ex-Voya and Ameriprise Broker, Barred from Securities Industry

On May 9, 2018, FINRA announced that it barred former securities broker James Knee from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Knee because he declined to appear to

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