Kelly used his companies, Lion's Share Financial of East Cobb, Inc., Lion's Share & Associates, Inc., and Lionsshare Tax Services, LLC, to raise at ...
McLellan was found guilty of applying hidden commissions to billions of dollars of securities trades for these customers.
The Commission’s complaint, alleged, among other things, that from April 1, 2013, through December 31, 2014, Berkey violated the antifraud provisions of the federal securities ...
The Securities and Exchange Commission (“Commission”) is reopening the comment period and requesting additional comment (including potential modifications to proposed rule language) on the following: ...
Ross Shapiro, Michael Gramins and Tyler Peters: Court Enters Final Judgment Against Former Nomura...
Shapiro made misrepresentations and omitted material information to investors in order to illicitly generate additional revenue for Nomura's RMBS desk. Shapiro allegedly misrepresented the ...
I think as you can see the Commission has at its disposal a wide variety of remedies and relief. And in the Division of ...
The SEC's complaint alleges that Bressman placed trades using the allocation account and cherry-picked profitable trades, which he then transferred to his own account and ...