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SEC Charges San Diego-Based Investment Adviser with Running $7 Million Ponzi...

The Securities and Exchange Commission charged Christopher D. Dougherty and several entities he controlled with operating a Ponzi scheme that defrauded his investment advisory...

SEC Charges Brokerage Assistant with Stealing Funds from Elderly Clients

The Securities and Exchange Commission has charged Kimberly Sredich, a former sales assistant at Worklife Wealth Management Inc., with misappropriating approximately $340,000 from the...

SEC Charges Investment Adviser with Stealing Millions from Private Fund

The Securities and Exchange Commission has revoked the registration of a Seattle-based registered investment adviser and barred its principal from the securities industry for...

SEC Bars Former Questar Rep Serving Time for 15-Year Ponzi Scheme

The Securities and Exchange Commission has barred a former Questar Capital registered representative currently serving 11 years in prison for his role in perpetrating...

SEC Charges Private Placement Sponsor with Overcharging Fees in Alleged Multi-Year...

The Securities and Exchange Commission has charged registered investment adviser Direct Lending Investments LLC with a multi-year fraud that resulted in approximately $11 million...

SEC Proposes Offering Reforms for BDCs and Registered Closed-End Funds

The Securities and Exchange Commission voted to propose certain rule amendments to improve access to capital and facilitate investor communications by business development companies...

SEC Fines Wedbush $250,000 to Settle Failure to Supervise Charge

Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle a failure to supervise charge in a pending...

SEC Charges Texas Radio Host in $19.6 Million Ponzi Scheme Targeting...

The Securities and Exchange Commission has charged William Neil "Doc" Gallagher, the self-styled "Money Doctor" featured on three Dallas-area radio stations, in an emergency...

SEC Settles with 79 Investment Firms for Mutual Fund Sales, Firms...

The Securities and Exchange Commission has settled charges against 79 investment advisers that will return more than $125 million to clients, with a substantial...

BB&T to Return More Than $5 Million to Retail Investors to...

The Securities and Exchange Commission announced that BB&T Securities has agreed to return more than $5 million to retail investors and pay a $500,000...