Administrative Proceedings

The Commission’s complaint alleged that Respondent operated EIMT as a Ponzi scheme. Through EIMT, Respondent obtained more than $40 million from approximately 150 investors, many ...

The count of the superseding criminal information to which Sledziejowski pleaded guilty alleges that the SEC had commenced an investigation into sales of certain securities ...

Although TMC’s safeguards and procedures provided generally that subscribers’ identities would remain anonymous when trading on the ATS, TMC failed to establish adequate procedures designed ...

Huish drafted marketing materials sent to investors and prospective investors in Founders that materially overstated the Funds’ size and ability to fund deals that would ...

Respondent failed to reasonably supervise Jeremy Joseph Drake (“Drake”), formerly an investment adviser representative of HCR, and failed to implement reasonable compliance-related policies and procedures ...

The Commission’s complaint alleged that Respondent received material, nonpublic information from Defendant A, one of his brokerage clients, about three confidential potential acquisitions of publicly-traded ...

Haller pled guilty in the Ontario Court of Justice to one count of defrauding a brokerage firm at which he was an accountholder of more ...

The Commission’s complaint alleged that, beginning in 2004, Sonya Camarco, a registered investment adviser, stole over $2 million from her elderly clients and their families ...

These proceedings arise out of breaches of fiduciary duty and failures to disclose by registered investment adviser Sigma in connection with its mutual fund share ...