SEC: Enforcement

Although neither HighPoint nor its IARs received the 12b-1 fees paid to the Clearing Firm, HighPoint and its IARs had a conflict of interest when ...

ARS Capital failed to post Form CRS on its website until after March 4, 2021

Good raised at least $4.8 million in this scheme, including through at least 30 fraudulent investments since 2017. Good did not however use the clients’ ...

Sentence will deter others, judge hopes

The internal review has found no evidence that the Enforcement staff investigating and prosecuting this matter accessed the Adjudication memoranda or took any action based ...

The "kind of securities analysis that is central to making markets work—gathering pieces of information (none of which are both material and non-public) and putting ...

"Another area of challenges that new technologies present is in relation to the use of digital engagement practices, including predictive data analytics, behavioral prompts, differential ...

Michael Pellegrino was associated with GFG from its founding until November 2018 when he transferred his GFG ownership stake to Anthony Pellegrino

'Every innovation... carries risk...'

Rather than invest their moneys as promised, Van Zandt used his investors’ funds to pay earlier investors and satisfy personal expenses