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SEC Bars Longtime Broker Sentenced to 170 Months in Prison

The Securities and Exchange Commission has barred 60-year-old former broker, Steven Pagartanis, who was sentenced to 170 months in prison last year for defrauding...

SEC Charges Former Adviser with Fraud for Allegedly Stealing $2.3 Million...

The Securities and Exchange Commission has charged former investment adviser Isaiah Goodman with allegedly defrauding his advisory clients out of approximately $2.3 million. According to...

Biden Names Acting Chair of the SEC

President Joe Biden has appointed Allison Herren Lee to serve as acting chair of the Securities and Exchange Commission. Lee was appointed as an...

Biden to Name MIT Professor and Former CFTC Chairman to Head...

President-elect Joe Biden is expected to name MIT professor Gary Gensler as chair of the Securities and Exchange Commission, according to a Reuters report...

SEC Adopts Modernized Marketing Rule for RIAs

The Securities and Exchange Commission has finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to...

SEC Charges RIAs and Broker-Dealers over Improper ETP Sales

The Securities and Exchange Commission has filed settled actions against three investment advisory firms and two dually-registered broker-dealer and advisory firms for violations related...

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 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...