Rocco Roveccio, a New Jersey resident, recommended to seven customers a pattern of high-cost, in-and-out trading without any reasonable basis to believe that his customers ...
Roveccio recommended to seven customers – Customers 5 through 11 – a pattern of high cost, in-and-out trading without any reasonable basis to believe ...
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (‘‘Regulation NMS’’) under the
Securities Exchange ...
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (“Regulation NMS”) under the Securities ...
Berkey's customers incurred significant costs with every transaction and the securities were held briefly; thus, the price of the securities had to rise significantly for ...
The count of the indictment to which Winstead pled guilty alleged that on April 1, 2014, Winstead, in his capacity as a Nationwide Insurance agent, ...
Re: The Money Management Institute Incoming letter dated April 2, 2019 Based on the facts and representations in your letter, and without necessarily agreeing ...
Rule 15Ba1-5 of the Exchange Act provides that a registered municipal advisor must promptly amend its SEC Form MA-I whenever any information becomes inaccurate for ...
The criminal information against Stancik alleged, among other things, that Stancik: (1) made false representations to his broker-dealer customers as to the use of their ...
In May 2015, the SEC charged Robert P. DePalo with defrauding over twenty investors by misrepresenting the value of their investments and use of their ...