RCW Staff

The count of the superseding criminal information to which Sledziejowski pleaded guilty alleges that the SEC had commenced an investigation into sales of certain securities ...

Although TMC’s safeguards and procedures provided generally that subscribers’ identities would remain anonymous when trading on the ATS, TMC failed to establish adequate procedures designed ...

Huish drafted marketing materials sent to investors and prospective investors in Founders that materially overstated the Funds’ size and ability to fund deals that would ...

SEC Charges Previously-Barred Broker and His Firm with Offering Fraud Litigation Release No. 24608 / September 23, 2019 U.S. Securities and Exchange Commission v. Christopher ...

Respondent failed to reasonably supervise Jeremy Joseph Drake (“Drake”), formerly an investment adviser representative of HCR, and failed to implement reasonable compliance-related policies and procedures ...

The Commission’s complaint alleged that Respondent received material, nonpublic information from Defendant A, one of his brokerage clients, about three confidential potential acquisitions of publicly-traded ...

SEC Obtains Final Judgment Against Perpetrator of Multi-Million Dollar Offering Fraud

Haller pled guilty in the Ontario Court of Justice to one count of defrauding a brokerage firm at which he was an accountholder of more ...

The Commission’s complaint alleged that, beginning in 2004, Sonya Camarco, a registered investment adviser, stole over $2 million from her elderly clients and their families ...