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SEC Fines Wedbush $250,000 to Settle Failure to Supervise Charge

Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle a failure to supervise charge in a pending...

Hines Global REIT Urges Shareholders to Reject CMG Tender Offer

The board of Hines Global REIT, a publicly registered non-traded real estate investment trust, is urging investors to reject an unsolicited tender offer made...

SEC Charges Texas Radio Host in $19.6 Million Ponzi Scheme Targeting...

The Securities and Exchange Commission has charged William Neil "Doc" Gallagher, the self-styled "Money Doctor" featured on three Dallas-area radio stations, in an emergency...

SEC Settles with 79 Investment Firms for Mutual Fund Sales, Firms...

The Securities and Exchange Commission has settled charges against 79 investment advisers that will return more than $125 million to clients, with a substantial...

Morrison & Foerster Adds Another REIT Group Partner

Morrison & Foerster, a global law firm, has named Heath Linsky as a partner in its real estate investment trust group. The firm said...

GPB Capital Provides Additional Details on Investigations

GPB Capital, a New York-based alternative asset management firm, has issued a series of frequently asked questions to provide additional details on the various...

BB&T to Return More Than $5 Million to Retail Investors to...

The Securities and Exchange Commission announced that BB&T Securities has agreed to return more than $5 million to retail investors and pay a $500,000...

GPB Capital Discloses Another Investigation

GPB Capital, a New York-based alternative asset management firm, sent a letter to investors disclosing that authorities made an unannounced visit to their New...

SEC Bars Former Morgan Stanley Broker Jailed for Securities Fraud

The Securities and Exchange Commission has barred former Morgan Stanley broker Michael Scronic for his role in running a Ponzi-like scheme and raising money...

SEC Halts Alleged Alternative Investment Scheme Targeting Retail Investors

The Securities and Exchange Commission announced fraud charges and an asset freeze against the operators of a South Florida-based investment fund, one of whom...