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The Parking REIT CEO Plans to Fight SEC Fraud Charges

Michael Shustek, the founder and chief executive officer of several real estate investment trusts, has been charged by The Securities and Exchange Commission with...

SEC Fines Dozens of Financial Firms for Missing Form CRS Filing...

The Securities and Exchange Commission has charged and fined 21 registered investment advisers and six broker-dealers for failing to “timely” file and deliver their...

SEC Bars Former First Capital REIT Chairman and CEO After Obtaining...

The Securities and Exchange Commission has obtained judgements against Suneet Singal and three entities he controlled for their roles in two public company frauds,...

SEC Bars Former Raymond James Broker Who Pled Guilty to Stealing...

The Securities and Exchange Commission has barred former Raymond James broker Frederick Stow who pled guilty last October to aggravated identity theft, securities fraud,...

SEC Fines Two Kestra RIAs for Undisclosed Revenue Sharing Conflicts

The Securities and Exchange Commission has settled charges against Kestra Advisory Services LLC and Kestra Private Wealth Services LLC, two registered investment advisor subsidiaries...

SEC Obtains Final Judgement Against Former Morgan Stanley Adviser Who Stole...

The Securities and Exchange Commission has obtained a final judgement against former Morgan Stanley advisor, Michael B. Carter, who stole more than $6 million...

Securities America Advisors to Pay $1.8 Million For Failing to Prevent...

The Securities and Exchange Commission has ordered Securities America Advisors, the RIA arm of broker-dealer Securities America Inc., to pay a $1.75 million civil...

New Jersey Attorney General Named SEC’s Top Cop

The Securities and Exchange Commission has appointed New Jersey Attorney General, Gurbir Grewal, as director of the division of enforcement, effective July 26, 2021. "...

Crown Capital Securities to Pay $1.6 Million to Settle SEC Charges

The Securities and Exchange Commission has ordered Crown Capital Securities LP, a dually registered investment adviser and broker-dealer, to pay nearly $1.6 million in...

SEC Fines Guggenheim Securities $209,000 for Alleged Whistleblower Protection Violations

The Securities and Exchange Commission has charged Guggenheim Securities with allegedly violating whistleblower protection rules over language included in its employee compliance manual, the...