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SEC Fines Wedbush $250,000 to Settle Failure to Supervise Charge

Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle a failure to supervise charge in a pending...

SEC Charges Advisory Firm and Principal with Fraud for Associating with...

The Securities and Exchange Commission has filed charges against a Buffalo, New York, investment advisory firm and its owner for misleading firm clients about...

SEC: Merrill Lynch to Pay $8.9 Million for Undisclosed Conflict in...

Merrill Lynch, Pierce, Fenner & Smith has agreed to pay an approximately $8.9 million settlement to the Securities and Exchange Commission for failing to...

SEC Fines New York Broker-Dealer $1.3 Million for Failing to Preserve...

The Securities and Exchange Commission announced that New York-based broker-dealer BGC Financial has agreed to pay a $1.25 million penalty to settle charges that...

SEC Charges Five Individuals and Three Issuers in Alleged $102 Million...

The Securities and Exchange Commission filed charges and obtained an asset freeze against the individuals and companies behind a $102 million Ponzi scheme that...

SEC Charges Investment Adviser and Two Former Managers for Misleading Retail...

The Securities and Exchange Commission has settled charges against New York-based investment adviser deVere USA Inc. related to its alleged failure to disclose conflicts...

SEC Charges Rep in $8 Million Scam Targeting Long-Standing Brokerage Customers

The Securities and Exchange Commission has charged Steven Pagartanis with defrauding long-standing brokerage customers in an $8 million investment scam by soliciting and selling...

SEC Charges Broker-Dealer in Employee’s Alleged Pump-and-Dump Scheme

The Securities and Exchange Commission has charged broker-dealer Wedbush Securities Inc. for failing to supervise one of its registered representatives who was allegedly involved...