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SEC Bars Adviser for Recommending Clients Invest $3 Million in Ponzi...

The Securities and Exchange Commission has barred adviser Craig Rumbaugh for recommending that eight of his clients invest more than $3 million in a...

SEC Charges Former Brokers with Illegally Selling Securities in Multi-Million Dollar...

The Securities and Exchange Commission has charged two former registered representatives, Minish "Joe" Hede and Kevin Graetz, for acting as unregistered brokers in the...

SEC Charges Three Former RIA Employees with Attempting to Thwart Ponzi...

The Securities and Exchange Commission has charged three individuals who, while working for investment adviser Stephen C. Peters, falsified and withheld documents that were...