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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...

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 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...

SEC Charges Rapper T.I., Film Producer and Others for Promoting Fraudulent...

The Securities and Exchange Commission has charged five Atlanta-based individuals, including film producer Ryan Felton, rapper and actor Clifford Harris, Jr., known as T.I....

Former SEC Examiner/GPB Executive Pleads Guilty to Misdemeanor Theft of Government...

Michael Cohn, a former Securities and Exchange Commission examiner who was hired as managing director and chief compliance officer at GPB Capital Holdings in...

SEC Charges Former RIA Principal with Data Manipulation and Valuation Fraud

The Securities and Exchange Commission has charged Brendan Matthew Ross, the owner and former CEO of registered investment adviser Direct Lending Investments LLC (DLI),...