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SEC Encourages Companies to Hold Virtual Annual Meetings, Announces Regulatory Relief

The Securities and Exchange Commission has published guidance to assist companies with their obligation to hold annual shareholder meetings in light of coronavirus (COVID-19)...

SEC Obtains Judgment Against Former Adviser Charged with Defrauding Retirees

A federal district court in Massachusetts entered a final judgment against Richard Cody, a former investment adviser and broker representative who defrauded Massachusetts retirees. According...

SEC Charges Recidivist Investment Adviser with Defrauding Retirees

The Securities and Exchange Commission has charged Sacramento, California-based investment adviser firm Springer Investment Management Inc., doing business as Springer Financial Advisors (SFA), and...

SEC Obtains Asset Freeze to Halt Alleged Reg D Offering Fraud

The Securities and Exchange Commission has obtained a temporary restraining order and asset freeze against a California solar panel company and three executives who...

SEC Bars Former Broker for Oil and Gas Ponzi Scheme

The Securities and Exchange Commission has barred former broker, Rodney Pope, for his role in a Ponzi scheme while serving as chief executive officer...

Former NFL Player Found Guilty of $10 Million Fraud

A federal jury in Richmond, Virginia returned another guilty verdict against Merrill Robertson, Jr. in a second criminal trial. The former football player for...

SEC Charges California Contractor and CPA for Roles in $909 Million...

The Securities and Exchange Commission today has charged two California individuals for their roles in a multi-year alternative energy tax credit Ponzi scheme run...

SEC Orders 17 Advisory Firms to Pay $10 Million to Investors...

The Securities and Exchange Commission has settled charges against an additional 17 investment advisers for inadequate disclosures over their mutual fund share class selection...

SEC Obtains Emergency Asset Freeze and Charges Adviser with $100 Million...

The Securities and Exchange Commission has charged Brenda Smith, a Pennsylvania investment adviser, with operating a $105 million fraud. The SEC also obtained an...

Cantor Fitzgerald and BMO Capital to Pay $4.5 Million for Improper...

The Securities and Exchange Commission has charged brokers Cantor Fitzgerald & Co. and BMO Capital Markets Corporation for improper handling of "pre-released" American Depositary...