The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to the Municipal Securities Disclosure Rule (Rule 15c2-12) under the Securities Exchange Act of ...
The complaints allege that defendants reaped millions of dollars in commissions on their sales of Woodbridge securities even though they were not registered as broker-dealers ...
The criminal information to which Davis pled guilty alleged, inter alia, that Davis, for the purpose of executing a scheme and artifice to defraud clients ...
Throughout his employment at NW Capital, Morris reported to Fagan as his first-level supervisor. During the relevant period, Fagan also was the supervisor responsible for ...
Morris had a long-standing relationship with Scherr and understood that Scherr operated a securities trading business known as “flipping” and was known in the industry ...
Maccoll told his customers that the purported fund investment would allow them to diversify their portfolios, receive annual investment returns as high as 20%, ...
Palermo paid above-market prices to acquire MLCDs from J.P. Turner brokerage customers, and then held the MLCDs in J.P. Turner's inventory. To avoid J.P. Turner's ...
The Securities and Exchange Commission is adopting amendments to regulatory requirements in Regulation ATS under the Securities Exchange Act of 1934 (‘‘Exchange Act’’) applicable to
alternative ...
Paulsen and Kelley planned a ski trip for the purpose of entertaining Kang and his girlfriend. The complaint alleges that Kang told Paulsen and Kelley ...