The complaint alleges that, starting in 2010, Pameijer and his daughter, Sayer, began soliciting clients to invest with Rykoworks through promissory notes which purported to ...
In April 2015, the Department of Justice put out these best practices for victims of cyber-attacks to consider following.
You don’t want to mess with FINRA when it comes to rule 8210 (provision of information and testimony and inspection and copying of books ) ...
Wilson defrauded investors who bought unregistered securities offered by his company, Diversified Group Partnership Management, LLC, and sold through his brokerage firm, W R Rice ...
Hugo Urrea: SEC pursues charges on acting as an unregistered broker-dealer after five-year prison...
Urrea held himself out as a “registered securities dealer” and misappropriated over $200,000 from nine individuals, including the elderly, by means of fraudulent conduct, practice, ...
First, I’d like to explore the debate over short-termism and capital formation in our markets. Are our financial markets supporting the development of healthy companies ...
Let me say a bit more about company compliance programs. When the Commission was considering its whistleblower rules, concerns were raised about undermining companies’ internal ...
The SEC proposes amending Regulation SBSR to apply the regulatory reporting and public dissemination requirements to transactions that are arranged, negotiated or executed by personnel ...
This proposal significantly improves on the approach originally proposed in 2013. It now centers on activity that is carried out by a non-U.S. person ...