SEC
Whistleblower
Advocates

June 02, 2017

SEC v. Marc D. Broidy and Broidy Wealth Advisors, LLC

Trading and Pricing

SANCTION AMOUNT: $1,719,464

Defendants: Broidy Wealth Advisors, LLC
Marc D. Broidy

Defendants, an investment advisory firm and its owner, fraudulently overbilled clients and stole assets from their trusts to pay for personal expenses/luxury items. More than $1.4 million in ill-gotten gains. Case resolved by settlement following conviction of defendant Broidy in a parallel criminal matter.

Thank you for submitting some email to us.