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SEC Obtains Fraud Judgment Against Former Adviser Who Stole $1.9 Million...

The Securities and Exchange Commission has obtained a final judgment against Jay Costa Kelter, a former registered investment adviser and registered representative who was...

NASAA Announces Top Investor Threats for 2020

The North American Securities Administrators Association (NASAA) announced the top five products or schemes likely to scam investors in the coming year and recommended...

SEC Obtains Asset Freeze to Halt Alleged Reg D Offering Fraud

The Securities and Exchange Commission has obtained a temporary restraining order and asset freeze against a California solar panel company and three executives who...

SEC Charges Adviser for Defrauding Two Retail Investors in Oversees Investment...

The Securities and Exchange Commission has charged Richard G. Duncan, a longtime investment adviser and broker who first became registered in 1971, with defrauding...

SEC Charges Unregistered Broker Who Sold Woodbridge and 1 Global Fraudulent...

The Securities and Exchange Commission has charged Henry J. "Trae" Wieniewitz, III and his Knoxville, Tennessee-based company, Wieniewitz Financial LLC, for unlawfully offering and...