RCW Staff

Rooney purchased Vera Bradley stock and options using material, nonpublic information that he obtained from a senior employee of Vera Bradley (the “Vera Bradley Executive”), ...

In connection with that plea, Minor admitted that he was a volunteer member of the Rehabilitation Center for Children and Adults, Inc. (“RCCA”) Board of ...

The Commission’s complaint alleged that, in connection with the offer, purchase, or sale of securities in the form of units of membership interests and promissory ...

RELEASE Number 7983-19 July 25, 2019   In CFTC Actions, Two Former Precious Metals Traders Admit To Engaging in Spoofing and Manipulation at New York ...

Genesis’s written policies and procedures required it to disclose such conflicts of interest to its clients in the firm’s Form ADV Brochure. During 2014 and ...

These proceedings concern conflicts of interest that were not properly disclosed and broker-dealer registration violations by registered investment adviser FAM and its two principals, Shamburger ...

The guidance clarifies the CIP and BO requirements applicable to introducing brokers (""IBs"") under the Bank Secrecy Act (""BSA""). The guidance provides regulatory clarity to ...

Peter de Roetth, with Chris de Roetth’s knowledge, made concentrated efforts to get Ms. Doe to sign an amendment that continued her trust for twenty ...

RELEASE Number 7980-19 July 19, 2019 Federal Court Orders Defendant to Pay More Than $2.9 Million in Connection with a Social Media-Based Forex Fraud Scheme ...

SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets Litigation Release No. 24539 / July 18, 2019 U. S. Securities and Exchange ...