The Commission’s complaint alleged that, in connection with the sale of Agape and AMA securities, Massaro repeatedly sold investments offered by Agape that promised investors ...
AOC failed to supervise Frank Dinucci Jr. (“Dinucci”), an associated person of AOC, who among other things, participated in a fraudulent valuation scheme including by ...
After Gonzalez joined AOC, during the Relevant Period, he knew that AOC traders, including Dinucci, were providing price quotes or marks to PPI on behalf ...
These proceedings arise out of BMO CMC’s improper practices with respect to securities lending transactions involving pre-released American Depositary Receipts (“ADRs”).
Typically, a Depositary issues ADRs to a market participant that has delivered the corresponding number of foreign securities to the Depositary’s foreign custodian (“Custodian”). However, ...
SEC Wins Jury Trial Against Broker Charged with Insider Trading Litigation Release No. 24564 / August 15, 2019 Securities and Exchange Commission v. Thomas W. ...
In rule document 2019–12164, appearing on pages 33318 through 33492, in the issue of Friday, July 12, 2019 make the following corrections: 1. On page ...
The Commission’s complaint alleged that, from at least 2014 until October 2018, Kelly raised more than $1,000,000 from at least 12 investors, promising that he ...
This document makes technical corrections to certain amendments to the Commission’s disclosure rules and forms adopted in Release No. 33-10618 (March 20, 2019), which was ...