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SEC and FINRA to Host Online Forum on Regulation Best Interest...

The Securities and Exchange Commission has released the agenda and panelists for the October 26, 2020 roundtable where SEC staff and FINRA will discuss...

SEC Charges Unlicensed Adviser with Orchestrating $3 Million Offering Fraud

The Securities and Exchange Commission has charged Alexander Rowland with the fraudulent offer and sale of nearly $3 million of securities to approximately 122...

XY Planning Nixes Supreme Court Challenge of Reg BI, Plans to...

XY Planning Network (XYPN), a membership organization comprised of more than 1,300 independent fee-for-service financial advisors, will not appeal its 2nd Circuit ruling on...

SEC Proposes Exemption for Unregistered “Finders” Assisting Small Businesses with Capital...

The Securities and Exchange Commission has proposed a new conditional exemption for unregistered individuals, or “finders,” help issuers raise capital from accredited investors through...

SEC Charges John McAfee and Bodyguard with Fraudulently Touting ICOs

The Securities and Exchange Commission has charged John McAfee, the founder of international computer security software giant McAfee, for promoting investments in initial coin...

SEC Bars Former Commonwealth Broker Who Pled Guilty to Stealing $3.7...

The Securities and Exchange Commission has barred former long-time Commonwealth Financial broker, Gerald Allan Eaton, after he pled guilty to stealing more than $3.7...

SEC Charges Recidivist Advisor in Alleged $1 Million Investment Fraud

The Securities and Exchange Commission has charged Clifton Curtis Sneed Jr., a recidivist securities law violator based in Texas, with defrauding investment advisory clients...

SEC and FINRA to Hold Roundtable on Regulation Best Interest and...

The Securities and Exchange Commission will hold a roundtable with the Financial Industry Regulatory Authority (FINRA) to discuss initial observations on the implementation of...

SEC Charges Former Broker with $4 Million Offering Fraud

The Securities and Exchange Commission has charged former broker and New York City resident Craig A. Zabala for defrauding investors in his company, Concorde...

SEC Charges Former Transamerica Broker with Defrauding Retail Investors

The Securities and Exchange Commission has charged Scott Allen Fries, a former Ohio-based registered representative and investment adviser representative, with allegedly defrauding at least...