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SEC Bars Adviser Accused of Defrauding Clients and Pro Athletes

The Securities and Exchange Commission has barred investment adviser Douglas Elstun of Lenexa, Kansas, who was charged with “repeatedly” defrauding and breaching his fiduciary...

SEC Obtains Final Judgment Against Adviser Accused of Defrauding Clients and...

The Securities and Exchange Commission has obtained a final judgment against investment adviser Douglas Elstun of Lenexa, Kansas, who was charged with "repeatedly" defrauding...

SEC Chair Adds CFA Director of Investor Protection to Senior Staff

The Securities and Exchange Commission has appointed Barbara Roper as senior advisor to chairman Gary Gensler. Roper currently serves as the director of investor...

SEC Bars Former PIMCO CEO for College Admissions Bribery Scandal

The Securities and Exchange Commission has barred Douglas Michael Hodge, former chief executive officer of Pacific Investment Management Company (PIMCO), who was sentenced to...

The Parking REIT CEO Plans to Fight SEC Fraud Charges

Michael Shustek, the founder and chief executive officer of several real estate investment trusts, has been charged by The Securities and Exchange Commission with...

SEC Bars Former Raymond James Broker Who Pled Guilty to Stealing...

The Securities and Exchange Commission has barred former Raymond James broker Frederick Stow who pled guilty last October to aggravated identity theft, securities fraud,...

Securities America Advisors to Pay $1.8 Million For Failing to Prevent...

The Securities and Exchange Commission has ordered Securities America Advisors, the RIA arm of broker-dealer Securities America Inc., to pay a $1.75 million civil...

New Jersey Attorney General Named SEC’s Top Cop

The Securities and Exchange Commission has appointed New Jersey Attorney General, Gurbir Grewal, as director of the division of enforcement, effective July 26, 2021. "...

Crown Capital Securities to Pay $1.6 Million to Settle SEC Charges

The Securities and Exchange Commission has ordered Crown Capital Securities LP, a dually registered investment adviser and broker-dealer, to pay nearly $1.6 million in...

SEC Fines Guggenheim Securities $209,000 for Alleged Whistleblower Protection Violations

The Securities and Exchange Commission has charged Guggenheim Securities with allegedly violating whistleblower protection rules over language included in its employee compliance manual, the...