The Commission is proposing an amendment to the exemption provisions in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (“Exchange Act”). ...
We are adopting interim final temporary rules for issuers subject to reporting obligations pursuant to Regulation Crowdfunding and Regulation A in order to address the ...
The Commission’s complaint alleged that, in connection with the offer and sale of securities in the form of limited partnership interests in a series of ...
This matter involves a failure to register as a municipal advisor and other improper conduct by Eric Hall & Associates, LLC (“EHA”) and its principal, ...
Emil Botvinnik and New York resident Jovannie Aquino recommended frequent, short-term trades that generated large commissions for the brokers but were almost guaranteed to lose ...
Ernest J. Romer, III persuaded at least 30 of his customers, many of whom invested most of their life savings with Romer, to sell securities ...
On November 4, 2015, a sentencing judgment in the criminal case was entered against Walker and she was convicted. She was sentenced to a prison ...
The criminal complaint to which Johnson was convicted, alleged, inter alia, that Johnson used her position as a financial advisor to transfer or attempt to ...
Wivolin admitted that she and her co-defendant defrauded a client of $100,000. In July 2008, at Wivolin’s recommendation, the client provided Wivolin with $100,000 for ...