Home Tags SEC

Tag: SEC

Opinion: SEC Whistleblower Program Invites Abuse

By: Publius Editor’s note: The author of the following guest article is a chief executive officer in the financial services industry, who, for fairly obvious...

SEC Obtains Final Judgment Against Longtime Broker Sentenced to 170 Months...

A New York district court has entered a final judgment against Steven Pagartanis, a barred broker who was sentenced to 170 months in prison...

SEC Committee Recommends Retail Investors Have “Wider Access” to Private Funds

The Securities and Exchange Commission's Asset Management Advisory Committee has unanimously approved a report recommending that the SEC consider how to amend the regulatory...

SEC Chairman Discusses Commitment to Regulation BI in House Committee Meeting

The House Financial Services Committee held an online hearing with Securities and Exchange Commission Chairman Gary Gensler on Tuesday where he discussed his commitment...

SEC Charges Managing Director Who Bankrupted IFS Securities

The Securities and Exchange Commission has charged Keith Wakefield, a former managing director and head of fixed income trading at IFS Securities Inc., an...

SEC Charges Former Adviser with Stealing $1 Million from Three Elderly...

The Securities and Exchange Commission has charged former investment adviser Naseem Mohammed Salamah with fraud after he allegedly stole at least $968,600 from three...

SEC Charges Former Raymond James Investment Advisor with Defrauding 100 Clients

The Securities and Exchange Commission has charged Michael F. Shillin with defrauding at least 100 investment advisory clients, many of whom were elderly, by...

SEC Bars Adviser Accused of Defrauding Clients and Pro Athletes

The Securities and Exchange Commission has barred investment adviser Douglas Elstun of Lenexa, Kansas, who was charged with “repeatedly” defrauding and breaching his fiduciary...

SEC Obtains Final Judgment Against Adviser Accused of Defrauding Clients and...

The Securities and Exchange Commission has obtained a final judgment against investment adviser Douglas Elstun of Lenexa, Kansas, who was charged with "repeatedly" defrauding...

Regulatory Overreach – Pushing Back Against the SEC and FINRA

By: Publius Editor’s note: The author of the following guest article is a chief executive officer in the financial services industry, who, for fairly obvious...