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SEC Charges Utah Company, its Principals, and Two Recidivists with Securities...

The Securities and Exchange Commission has settled charges against a Utah corporation, its principals, and two securities fraud recidivists for allegedly orchestrating two inter-related...

SEC Files Fraud Charges Against Co-Founder of IIG

The Securities and Exchange Commission has charged David Hu, the co-founder and chief investment officer of International Investment Group LLC (IIG), a former registered investment...

Tweed Settles SEC Fraud Charges, Accepts Five-Year Banishment

The Securities and Exchange Commission has accepted an Offer of Settlement from Robert “Rusty” Tweed in regards to the fraud charges leveled against him...

SEC Bars Longtime MetLife Broker for Stealing from Clients’ Insurance Policies

The Securities and Exchange Commission has barred longtime Metlife Securities broker Kwen Y. Chun after he was found guilty of taking out loans against...

SEC Halts Ponzi Scheme Run from UGA Fraternity House

The Securities and Exchange Commission has charged a recent college graduate with orchestrating a Ponzi scheme that targeted college students and young investors. The...

SEC Seeks Emergency Relief to Halt New York Developer’s Real Estate...

The Securities and Exchange Commission has filed an emergency action charging Robert C. Morgan, a New York residential and commercial real estate developer, and...

SEC Bars Former Morgan Stanley Broker Jailed for Securities Fraud

The Securities and Exchange Commission has barred former Morgan Stanley broker Michael Scronic for his role in running a Ponzi-like scheme and raising money...

SEC Halts Alleged 1031 Exchange Ponzi Scheme

The Securities and Exchange Commission has filed an emergency action to halt an alleged offering fraud perpetrated by Susan Werth, a.k.a. Susan Worth, and...