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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),...

SEC Charges Former Broker Using SEC Letterhead with Defrauding First Responders...

The Securities and Exchange Commission has charged a San Antonio-area businessman and his company with running an alleged multimillion-dollar scheme that purportedly defrauded retired...

SEC Files Fraud Charges Against Co-Founder of IIG

The Securities and Exchange Commission has charged David Hu, the co-founder and chief investment officer of International Investment Group LLC (IIG), a former registered investment...

Ray Lucia Settles with SEC, Ending Nearly Decade-Long Saga

High profile investment advisor and talk show host Raymond Lucia has finally reached a settlement with the Securities and Exchange Commission after a long,...

SEC Charges Former Raymond James Broker for Allegedly Stealing $1 Million...

The Securities and Exchange Commission has charged former Raymond James broker Frederick Stow for allegedly defrauding two seniors of nearly $1 million. According to his...

SEC Obtains Judgment Against Investment Adviser Charged with Fraud

The U.S. District Court for the Southern District of Indiana entered a final judgment against Tamara Steele and her Indianapolis-based investment advisory firm Steele...

SEC Bars Former LPL Broker

The Securities and Exchange Commission has barred former LPL Financial broker Todd Esh, who was named in a civil suit filed by the regulators...

SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct

The Securities and Exchange Commission has settled charges against three former KPMG LLP audit partners who allegedly shared answers to internal training exams and...

SEC Charges Three Texans for Offering and Selling Fraudulent Oil and...

The Securities and Exchange Commission has charged three Texas residents who allegedly used deceptive offering materials and promotional videos to sell $2.7 million in...

SEC Clarifies When Using “Advisor/Adviser” Violates Regulation Best Interest

The Securities and Exchange Commission provided clarification on its updated Regulation Best Interest frequently asked questions on the use of the terms “adviser/advisor” in...