Administrative Proceedings

The Commission’s complaint alleged that Wolle and others fraudulently induced individual investors to purchase 54Freedom securities – i.e., its stock, promissory notes and “charitable gift ...

The wire fraud count to which Montague pleaded guilty alleged, among other things, that between March 2005 and October 2009, Montague willfully and knowingly devised ...

This matter concerns the failure by COR to file Suspicious Activity Reports (“SAR” or “SARs”) for certain suspicious trade and wire activity relating to the ...

Katsaros knowingly and fraudulently made a false oath and account in relation to a case under Title 11, and a false declaration, certificate, verification and ...

Credit Suisse’s representations concerning the factors that RES considered in determining price improvement levels were misleading because Credit Suisse did not disclose that non-605 orders ...

The manner in which Harrison effected the trades on behalf of Putnam resulted in undisclosed favorable treatment of certain advisory clients over others. Specifically, Harrison ...

These proceedings concern insider trading by investment adviser Ross, who misappropriated material non-public information from his client Thomas Earl Hayden, II (the “Advisory Client”) about ...

The wire fraud count to which Elmas pleaded guilty alleged that, among other things, from at least 2012 through August 2014, Elmas misappropriated client funds ...

The Commission’s complaint alleged that, from at least January 2013 through December 2017, Young illegally raised at least $362, 000 from at least 32 investors. ...

Over six days in April 2016, one or more persons impersonating VFA contractor representatives called VFA’s technical support line and requested a reset of three ...