Bill Myers
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
A convicted hedge fund swindler took “rebranding” to new extremes by inventing a whole new identity in order to con investors in a crypto-currency, federal ...
A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...
The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...
The former CEO of a New York broker-dealer and one of his trusted employees are facing stiff prison terms after they were arrested on charges ...
A Sacramento-based investment adviser is vowing to fight back against an SEC complaint that accuses him of bilking aging workers and retirees. The Commission says ...
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
On the same day an online shopping executive pleaded guilty to state fraud charges, the SEC moved to relieve him and his company of at ...
A divided Commission has adopted a package of SEC rules and guidance that proponents hope will at long last bring some clarity to the securities-based ...
The U.S. House has passed a $1.4 trillion budget that will give SEC Chairman Jay Clayton a free hand to implement Reg BI but that ...
The SEC has dropped its ADR hammer again, this time on a New York broker-dealer Jefferies. The firm will now pay nearly $4 million in ...
The SEC has revoked a New York investment adviser’s registration after accusing the firm of selling $60 million in fake loan assets to hide losses ...
The SEC has rewrapped its case against one of two principal witnesses in the record-setting SAC Capital prosecution, months after a federal judge set aside ...
Embattled private fund adviser GPB Capital says it will not be able to publish its financial reports by the year’s end and that the company’s ...
An embattled private fund is distancing itself from the former SEC official it hired to run its own compliance program. GPB Capital says it was ...
A former NFL linebacker is facing 330 years in prison after a federal jury convicted him of a long-running, $10 million fraud. Merrill Robertson, Jr., ...
Changes to FINRA’s rules on who can buy or sell initial equity public offerings or new issues open doors not just for broker-dealers but—potentially—private fund ...
A divided SEC has approved a pair of rulemaking notices that, while aimed at proxy advisors and activist shareholders, has a great many investment advisers ...
Investment advisers continue to lead the league in spending time in the SEC’s penalty box, the Commission has concluded its in annual enforcement report. Thirty-six ...
Broker-dealers who do business in Europe will have an extra three years to get their paid research affairs in order after the SEC agreed to ...
If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: