Home Examinations Enforcement: SEC Actions
Examinations Enforcement: SEC Actions
Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for ...
Individual B never agreed to serve as Ascension’s CCO and was unaware that Ascension and Gooder had named him as the firm’s CCO until after ...
Goldsky's Forms ADV for 2016 and 2017, which Grace signed, falsely stated that Goldsky's hedge fund, Goldsky Global Alpha Fund, LP, had an auditor, a ...
Montoya engaged in a scheme to defraud investors in the RMA Fund of millions of dollars. Montoya made fraudulent representations to investors concerning the RMA ...
Gennity recommended to four customers a pattern of high-cost, in-and-out trading without any reasonable basis to believe that his customers could make a profit. Gennity's ...
Gennity recommended to four customers – Customers 1 through 4 – a pattern of high cost, in-and-out trading without any reasonable basis to believe that ...
Schmidt sold securities belonging to at least seven of his retail brokerage customers and secretly transferred over $1 million in proceeds to at least ten ...
The recent government shutdown resulted in the SEC operating with a bare bones staff only addressing emergencies involving market integrity, investor protection and law enforcement ...
The SEC filed an emergency action in federal district court against Castleberry Financial Services Group LLC, president T. Jonathon Turner, formerly known as Jon Barri ...
The count of the criminal information to which Katsaros pleaded guilty alleged that, from in or about 2011 through in or about January 2013, Katsaros ...