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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 Longtime Broker with Defrauding Retail Investors

The Securities and Exchange Commission has charged a Connecticut investment adviser with allegedly misappropriating $560,000 from his advisory clients by selling fictitious financial products...

SEC Bars Former Securities America Broker Over $1 Billion Ponzi Scheme

The Securities and Exchange Commission has barred former Securities America broker, Ronald Roach, who recently pled guilty to participating in a $1 billion Ponzi...

Cetera Names New Chief Executive Officer

Cetera Financial Group, a network of independent financial advisor firms, has appointed Adam Antoniades as chief executive officer and member of the board of...

Massachusetts Moves Forward with State Fiduciary Standard

Massachusetts Secretary of the Commonwealth William Galvin, the state’s chief securities regulator, has signed off on new regulations that would impose a uniform fiduciary...

SEC Bars Former Broker for Oil and Gas Ponzi Scheme

The Securities and Exchange Commission has barred former broker, Rodney Pope, for his role in a Ponzi scheme while serving as chief executive officer...

SEC Releases Frequently Asked Questions on Form CRS

The Securities and Exchange Commission has posted responses to frequently asked questions about Form CRS on its website and expects to update additional questions...

SEC Revokes Registration of RIA Engaged in $60 Million Fraud

The Securities and Exchange Commission has revoked the registration of New York-based investment adviser International Investment Group LLC (IIG), which it recently charged with...

SEC Charges Unregistered Broker Who Sold Woodbridge Securities to Retail Investors

The Securities and Exchange Commission has charged Brett Pittsenbargar, a Texas-based external sales agent for Woodbridge Group of Companies LLC, and his wholly-owned alter...

SEC Halts Ponzi Scheme Aimed at Seniors and Small Business Owners

The Securities and Exchange Commission filed an emergency action and obtained a temporary restraining order and asset freeze against Neil Burkholz of Boca Raton, Florida,...