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SEC Charges Advisor in Alleged $13 Million Fraud Against Teachers and...

The Securities and Exchange Commission has charged an Indianapolis-based investment advisory firm and its sole owner with selling approximately $13 million of high-risk securities...

Aegis Capital Fined $1.3 Million for Failing to File Suspicious Activity...

Aegis Capital Corporation, a New York-based brokerage firm with 400 reps, was fined a combined $1.3 million by both the SEC and FINRA for...

SEC Charges Merrill Lynch with Gatekeeping Failures in Unregistered Securities Sales

The Securities and Exchange Commission has settled charges against Merrill Lynch, Pierce, Fenner & Smith Inc. for its failure to perform required gatekeeping functions...