Administrative Proceedings

Individual B never agreed to serve as Ascension’s CCO and was unaware that Ascension and Gooder had named him as the firm’s CCO until after ...

Montoya engaged in a scheme to defraud investors in the RMA Fund of millions of dollars. Montoya made fraudulent representations to investors concerning the RMA ...

While Valley Forge told clients that, “Similar services by other brokers may be offered at higher or lower prices elsewhere,” its rates were significantly higher ...

Gennity recommended to four customers – Customers 1 through 4 – a pattern of high cost, in-and-out trading without any reasonable basis to believe that ...

Scronic defrauded investors through making material misrepresentations in order to solicit investments and misappropriate assets, and that Scronic used the mails and other means and ...

The count of the criminal information to which Katsaros pleaded guilty alleged that, from in or about 2011 through in or about January 2013, Katsaros ...

The embezzlement counts of the criminal complaints to which Romer pled no contest and to which he was convicted alleged, among other things, that as ...

Savla made false statements to investors regarding investment returns, hid substantial losses from investors, sent fraudulent account statements to investors, and misappropriated investor funds for ...

In approximately August 2018, Gladius self-reported to Commission Enforcement staff. From the beginning of its discussions with Commission staff, Gladius expressed an interest in taking ...

The Commission’s complaint alleges, inter alia, that Hirsch, while associated with the dually registered broker-dealers and investment advisers referenced above, violated Section 10(b) of the ...