Tag: Securities & Exchange Commission
SEC Charges Greenwich, Conn. Investment Professional with $64 Million Fraud
The Securities and Exchange Commission has charged Iftikar Ahmed, a Greenwich, Connecticut investment professional with fraudulently diverting more than $64 millions from the venture...
SEC Charges Father and Son Duo with Operating $135 Million Fraud...
The Securities and Exchange Commission has charged Jerome Cohen and Shaun Cohen and their companies, Equitybuild Inc. and Equitybuild Finance LLC with operating a...
SEC Charges Sterne Agee Managing Director in NY Retirement Fund Pay-to-Play...
The Securities & Exchange Commission has filed a civil injunctive action against John Paulsen, a former managing director and fixed income research analyst at...
