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SEC Obtains Emergency Asset Freeze and Charges Adviser with $100 Million...

The Securities and Exchange Commission has charged Brenda Smith, a Pennsylvania investment adviser, with operating a $105 million fraud. The SEC also obtained an...

SEC Charges Recidivist Violator with Securities Fraud Following Incarceration for Ponzi...

The Securities and Exchange Commission has charged Antonio Bravata, a recidivist securities law violator and convicted felon, with securities fraud that was conducted while...

SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing

The Securities and Exchange Commission has charged Commonwealth Financial Network, a registered investment adviser and broker-dealer that manages approximately $85 billion in client assets,...

SEC and NASAA Issue Summary of Securities Laws Relating to Opportunity...

The Securities and Exchange Commission and the North American Securities Administrators Association (NASAA) have issued a summary that explains the application of the federal...

SEC Enforcement Attorney Sworn in as Newest Commissioner

Allison Herren Lee was sworn into office on July 8 as a commissioner of the Securities and Exchange Commission. She was nominated by President...

FINRA Bars Former Cetera Advisors Rep

Financial Industry Regulatory Authority has barred former Cetera Advisors representative George C. Merhoff Jr. for failing to provide documents and information to the regulators...

Massachusetts Regulators Charge Company in $10 Million Ponzi Scheme That Targeted...

The Massachusetts Securities Division has charged a Rhode Island man with operating a Ponzi scheme which defrauded more than 40 investors out of more...

FINRA Bars Former LPL Rep

Financial Industry Regulatory Authority has barred former LPL Financial representative Jason Nelson for refusing to provide testimony to regulators in connection with his termination...

Massachusetts Regulators Halt Million Dollar Real Estate Investment Scheme

The Massachusetts Securities Division has charged an Illinois man for selling unregistered securities to Massachusetts investors totaling nearly $1 million for various real estate...

SEC Halts Ponzi Scheme Run from UGA Fraternity House

The Securities and Exchange Commission has charged a recent college graduate with orchestrating a Ponzi scheme that targeted college students and young investors. The...