Examinations Enforcement: SEC Actions

Michael Diamond once worked for Ringling Brothers but couldn’t have envisioned the circus he found himself part of when he applied to work at Worldwide ...

SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...

SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme Litigation Release No. 24649 / October 22, 2019 Securities and Exchange ...

The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...

Kevin and Amanda Merrill married in 2015. They have only themselves to blame for their separation. That’s because a federal judge Oct. 11 sentenced Kevin ...

Marian Young didn’t believe she needed an attorney to ensure she complied with Advisers Act rules when launching her internet advisory firm. She read the ...

As an experienced lending desk supervisor at a number of broker-dealers, Domenick Migliorato was brought in to Industrial and Commercial Bank of China Financial Services ...

Alleged Fraudster Sentenced to 22 Years in Parallel Criminal Case Litigation Release No. 24645 / October 16, 2019 Securities and Exchange Commission v. Kevin B. ...

SEC Charges Registered Investment Adviser and Broker-Dealer with Defrauding Advisory Clients Litigation Release No. 24643 / October 15, 2019 Securities and Exchange Commission v. Cetera ...

The Ukraine has been getting its fair share of press these days. This time it’s tied to the final judgments against a brokerage firm and ...