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SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing...

The Securities and Exchange Commission has charged Paul Alar of Atlanta, Georgia, and his investment adviser firm, West Mountain LLC, for fraudulently overvaluing assets...

SEC Charges Two Oil and Gas Execs with Defrauding Retail Investors

The Securities and Exchange Commission has charged Pennsylvania resident William Milles and Canadian resident Donald Lutzko with running an oil and gas offering fraud...

SEC Obtains Final Judgments Against Founders of Real Estate Crowdfunding Portal

The Securities and Exchange Commission has obtained final judgments on two co-founders of a New York-based crowdfunding portal, iFunding LLC, who were charged last...

AR Capital and Schorsch to Settle SEC Charges for $60 Million

The Securities and Exchange Commission has charged AR Capital LLC, its founder Nicholas S. Schorsch, and its former CFO Brian Block with wrongfully obtaining...

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...

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 Bars Longtime MetLife Broker for Stealing from Clients’ Insurance Policies

The Securities and Exchange Commission has barred longtime Metlife Securities broker Kwen Y. Chun after he was found guilty of taking out loans against...

SEC Bars Longtime Transamerica Broker for Stealing

The Securities and Exchange Commission has barred Pedro Gonzalez-Seijo, a broker formerly affiliated with Transamerica Financial Advisors Inc., after he pled guilty to bank...

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...

SEC Charges Former LPL Broker and Convict Friend for Selling Unregistered...

The Securities and Exchange Commission has charged Thomas Conwell and his childhood friend and former LPL broker, Kerry Hoffman, for fraudulently selling securities to...