Home Examinations Enforcement: SEC Actions
Examinations Enforcement: SEC Actions
the SEC alleges that Iftikar Ahmed illegally profited by having funds managed by Oak Investment Partners pay inflated prices for two e-commerce investments and by ...
The SEC is investigating, among other things, whether Karroum, FX & Beyond, and possibly others violated the anti-fraud or other provisions of the federal securities ...
Tabet and Berkman falsely told investors that each of the Ventures LLCs would use their funds to acquire highly coveted, pre-IPO shares in one or ...
Brady Speers lives in Mansfield, Texas and hosts a financial radio show. The SEC's complaint alleges that from 2012 to 2014, they sold approximately $4.3 ...
ClearPath and Churchville diverted deposits from new investors to pay prior investors, used proceeds from selling particular investments to pay unrelated investors, used investors' funds ...
The president of a firm that claimed it was investing in personal injury lawsuits pleaded guilty on Thursday to engaging in a conspiracy to defraud ...
Wilson defrauded investors who bought unregistered securities offered by his company, Diversified Group Partnership Management, LLC, and sold through his brokerage firm, W R Rice ...
Hugo Urrea: SEC pursues charges on acting as an unregistered broker-dealer after five-year prison...
Urrea held himself out as a “registered securities dealer” and misappropriated over $200,000 from nine individuals, including the elderly, by means of fraudulent conduct, practice, ...
The SEC alleges that Dr. Xiaoyu Xia and Ms. Yanting Hu, residents of Beijing, China, each purchased out-of-the-money call options in 58.com in the time ...
Over a period of four years, Alpha Titans, an investment adviser registered with the Commission that advises private funds, and its principal, Timothy P. McCormack, ...