Examinations Enforcement: SEC Actions

SEC Charges Investment Adviser with Defrauding Its Advisory Clients Litigation Release No. 24581 / August 29, 2019 Securities and Exchange Commission v. Cetera Advisors, LLC, ...

SEC Charges Adviser Firm and Its Principals with Defrauding Retired NFL Players Litigation Release No. 24580 / August 29, 2019 Securities and Exchange Commission v. ...

The Commission’s complaint alleged that, in connection with the sale of Agape and AMA securities, Massaro repeatedly sold investments offered by Agape that promised investors ...

SEC Charges Chicago-Based Investment Professional with Stealing Client Funds Litigation Release No. 24576 / August 27, 2019 Securities and Exchange Commission v. Marcus Boggs, Civil ...

Indictment Issued Against Investment Adviser Named in SEC Action Litigation Release No. 24574 / August 26, 2019 United States v. Motty Mizrahi et al., No. ...

Financial Sherpa and its sole principal are now carrying the heavy weight of an SEC enforcement action and industry bar tied to a cherry-picking scheme ...

Two more enforcement actions simultaneously announced by the SEC evidence the Commission’s continued focus on abusive practices in the handling of “pre-released” American Depositary Receipts. ...

SEC Wins Jury Trial Against Broker Charged with Insider Trading Litigation Release No. 24564 / August 15, 2019 Securities and Exchange Commission v. Thomas W. ...

SEC Charges Investment Adviser with Defrauding Clients Litigation Release No. 24563 / August 15, 2019 Securities and Exchange Commission v. Craig Rumbaugh, Rumbaugh Financial Inc., ...

SEC Charges Orange County, California Investment Advisers with Fraud Litigation Release No. 24560 / August 14, 2019 Securities and Exchange Commission v. Stuart Frost and ...