Examinations Enforcement: SEC Actions

SEC Obtains Sanctions Against Investment Adviser Litigation Release No. 24640 / October 10, 2019 Securities and Exchange Commission v. Thomas Conrad, Jr. et al., No. ...

SEC Obtains Sanctions Against Lek Securities and CEO, Including Bar Against CEO Litigation Release No. 24639 / October 10, 2019 Securities and Exchange Commission v. ...

SEC Charges Four Individuals in Broker Bribery Scheme Litigation Release No. 24637 / October 7, 2019 Securities and Exchange Commission v. Gino M. Pereira, Civil ...

The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA sold AGF II securities in a private placement offering using offering ...

The Commission’s complaint alleged that, from at least March 2011 to December 2013, Allen, through his broker dealer PAA, sold AGF II securities in a ...

The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA, through its owner Allen, sold AGF II securities in a private ...

Commonwealth questions where the agency even gets the legal authority to pursue share class initiative

The authority to vote the clients’ proxies was not sought

For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The ...

The hits keep coming for blockchain companies conducting unregistered ICOs of digital tokens. Block.one, which offered and sold 900 million tokens and raised several billion ...