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SEC Charges Felon and Six Others in Alleged Oil-and-Gas Offering Fraud,...

The Securities and Exchange Commission has charged seven individuals, including criminal recidivist Richard Dale Sterritt Jr., with defrauding more than 300 investors through a...

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...