Tag: trading
SEC Files Charges in $57 Million Office Space Investment Scheme
The Securities and Exchange Commission filed charges last week against James Robinson and David Kennedy in connection with an investment scheme that defrauded investors...
SEC Charges Unregistered Brokers That Facilitated $1.2 Billion in Securities Trades
The Securities and Exchange Commission charged Jeffrey K. Galvani, Stuart A. Jeffery and two New York-based entities they controlled with operating as unregistered broker-dealers...
SEC Charges Six Individuals with Defrauding Multiple Broker-Dealers
The Securities and Exchange Commission charged six individuals, including a federal inmate, for conducting a freeriding scheme that defrauded multiple broker-dealers.
The SEC’s complaint alleges...
Secondary Trading Platform Realto Closes Latest Funding Round
Realto Inc., the operator of a web-based marketplace for the secondary trading of illiquid real estate and alternative investments, has closed its latest venture...
