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Examinations Enforcement: SEC Actions
The SEC alleged that Murakami misappropriated investor funds for business and personal expenses and made approximately $1.3 million in Ponzi-like payments. The SEC also alleged ...
On June 27, 2018, the SEC charged Edward Lee Moody, Jr. and his wholly-owned investment adviser firm CM Capital Management, LLC, with operating a Ponzi ...
A $42 million settlement announced June 14 by the SEC now represents the largest recovery ever against a broker-dealer in the Commission’s ongoing investigation of ...
The Commission’s complaint alleged that, from September 2013 until May 2016, Gill perpetrated an offering fraud and Ponzi scheme, by promising guaranteed, fixed returns to ...
They are well-known names now in the financial services industry—Kokesh, Lucia, Robare, and Lorenzo. For the SEC, they represent significant recent court decisions impacting the ...
Dunkerley engaged in a scheme to defraud investors by orchestrating the acquisition of AAM and Hughes, and using their respective client funds to purchase ...
The complaint alleged that Aquino persuaded at least seven customers to maintain securities trading accounts with him at the firm and assured them that ...
Kitts was charged by the SEC for her six-year scheme to steal money from client accounts by forging client signatures on withdrawal requests from variable ...
The SEC's complaint alleged that Vaccarelli defrauded at least nine investors, several of whom were elderly, of over $1,000,000. Instead of investing the customers' funds ...
The Commission’s amended complaint alleged that David Goulding allowed his father to use the Funds’ assets to pay personal expenses which were not supported by ...