US Securities and Exchange Commission - VALIC

SEC Charges Investment Adviser With Fraud

Washington D.C., July 1, 2019 — The Securities and Exchange Commission today charged Investment Adviser, Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of Foxboro, Mass., with defrauding retail investment advisory…

US Securities and Exchange Commission - VALIC

SEC Charges Investment Adviser With Fraud

Washington D.C., May 28, 2019 — The Securities and Exchange Commission today charged investment adviser Stephen Brandon Anderson with defrauding clients by overcharging advisory fees of at least $367,000. According to the SEC’s order, Anderson…