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SEC Alleges Western and Five Brokers Violated Reg BI with Improper...

The Securities and Exchange Commission has charged registered broker-dealer Western International Securities and five of its registered representatives – Nancy Cole, Patrick Egan, Andy...

SEC Charges Three Advisers for Recommending Multi-Million-Dollar Ponzi to Clients

The Securities and Exchange Commission filed a civil action in a Georgia district court against Michael Mooney, Britt Wright, and Penny Flippen in connection...

Opinion: The SEC’s Tyrannical Gag Orders

By: Publius A gag order, as often issued by a court, occurs when a judge bars trial participants from discussing trial-related material outside of the...

SEC Charges EIA All Weather Alpha Fund with Fraud

The Securities and Exchange Commission has charged Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its sole owner, Andrew M. Middlebrooks...

SEC Proposes Enhancing Investment Company Act “Names Rule”

The Securities and Exchange Commission has proposed amendments to enhance and modernize the Investment Company Act “Names Rule.” The proposal is in place to...

SEC Obtains Final Judgement Against Former RIA Exec Who Pled Guilty...

The Securities and Exchange Commission has obtained a final judgement against Richard Diver, the former chief operating officer and co-founder of wealth management firm...

SEC Charges Wells Fargo Advisors with Anti-Money Laundering Violations

The Securities and Exchange Commission has charged Wells Fargo Advisors with failing to file at least 34 suspicious activity reports in a timely manner...

SEC Bars Adviser Accused of Defrauding Elderly Client

The Securities and Exchange Commission has barred former Michigan-based investment adviser, Steven F. Muntin, who was charged with defrauding one of his clients out...

Investment Fund Manager Sentenced to Nine Years for $100 Million Securities...

Brenda Smith, an investment adviser who previously pled guilty to securities fraud, was sentenced to 109 months in prison and ordered to pay $47.2...

SEC Obtains Judgment Against Adviser Accused of Defrauding Elderly Client

The Securities and Exchange Commission has obtained a final judgement against former Michigan-based investment adviser, Steven F. Muntin, who was charged with defrauding one...
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