Administrative Proceedings

This matter involves a registered municipal advisor’s use of unregistered “solicitor” municipal advisors to solicit business from school districts in California. In 2010, Congress enacted ...

These proceedings arise out of Nomura’s failure reasonably to supervise two traders so as to prevent and detect their violations of antifraud provisions of the ...

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, ...

According to the indictment filed in Stark County, Ohio, Hannan defrauded nine individuals in a series of transactions between 2014 and 2017. Hannan was sentenced ...

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 count of the indictment to which Gonzalez Seijo pled guilty alleged that he was an independent insurance agent who offered variable annuities, among other ...

A professional athlete, who was receiving non-advisory services from Parrish Group, responded to Davis’s recommendation that he open an investment advisory account by asking Davis, ...

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 ...

On Behn’s recommendation, approximately 40 of Behn’s advisory clients invested more than $7 million in securities issued by Aequitas Commercial Finance, LLC (“ACF”), one of ...