Examinations Enforcement: Settlement

Donald Worswick, acting through Spectrum, offered and sold to at least five elderly investors $465,000 of investments in what he called “Private Joint Venture Credit ...

Valente is a former registered representative who had twice filed for bankruptcy, and who had founded ELIV after the Financial Industry Regulatory Authority permanently expelled ...

The securities fraud counts to which Schuster pled guilty alleged that between December 2005 and March 2006, Schuster, in connection with the offer or sale ...

The securities fraud counts to which Engle pled guilty alleged that between March 2005 and May 2005, Engle, in connection with the offer or sale ...

The securities fraud count to which Fraley pled guilty alleged that between June 2011 and August 2012, Fraley, in connection with the offer or sale ...

The SEC settles its case against Carlson after he pleaded guilty to a criminal charge. The securities fraud counts to which Carlson pled guilty alleged ...

The theft counts to which Robert Medhus pled guilty alleged that between January 2007 and July 2012, Medhus, with the intent to deprive certain individuals, ...

The SEC alleged as of the filing of the complaint, Respondent used without authority at least $2 million in investor funds to pay for personal ...

SEC Charges Director of Rhode Island Bank and Three Others with Insider Trading

The SEC contends that on at least thirty-two separate occasions beginning in or about August 2004 through in or about August 2013, Herzing prepared false ...