SEC Charges Unregistered Broker Who Sold Retail Investors Securities in the Woodbridge and 1 Global Fraudulent Schemes Litigation Release No. 24531 / July 15, 2019 ...
The criminal information against Chun alleged that, from 2009 to 2014, Chun misappropriated client funds by, among other things, obtaining loans against clients’ insurance policies, ...
The Commission’s complaint alleged, among other things, that from at least August 2016 through February 2018, Santa Fe transferred directly to Laws and an entity ...
The OCC, Board, FDIC, SEC, and CFTC are adopting final rules to amend the regulations implementing the Bank Holding Company Act’s prohibitions and restrictions on ...
SEC Obtains Judgment Against Broker Litigation Release No. 24528 / July 8, 2019 Securities and Exchange Commission v. Jovannie Aquino, No. 1:18-cv-08191 (S.D.N.Y. filed September ...
The count of the indictment to which Gonzalez Seijo pled guilty alleged that he was an independent insurance agent who offered variable annuities, among other ...
The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, the “Commissions”) are proposing amendments to regulations that establish minimum customer ...
Catledge solicited investments, through the marketing entity known as Net Worth Solutions, involving the offer and sale of over $163 million of investment contracts in ...
According to his plea agreement and the indictment, the securities fraud counts to which Moter pleaded guilty were premised on his operation of a fraudulent ...
SEC Charges Municipal Advisor with Breaching Fiduciary Duty Litigation Release No. 24520 /June 27, 2019 Securities and Exchange Commission v. Comer Capital Group, LLC and ...