Court Denies Brokers' Attempt to Dismiss Commission-Splitting Claims Litigation Release No. 24591 / Sept. 13, 2019 Securities and Exchange Commission v. Adam Mattessich and Joseph ...
Three Defendants Charged with $345 Million Fraud Agree to Permanent Injunctions Litigation Release No. 24593 / September 13, 2019 Securities and Exchange Commission v. Kevin ...
SEC Charges Investment Adviser for Defrauding Advisory Clients by Charging Improper Transaction Costs Litigation Release No. 24595 / September 13, 2019 U.S. Securities and Exchange ...
SEC Obtains Final Judgment Against Investment Adviser in Cherry-Picking Scheme Litigation Release No. 24589 / September 10, 2019 Securities and Exchange Commission v. Strategic Capital ...
SEC Charges Investment Adviser with Fraud Litigation Release No. 24586 / September 5, 2019 Securities and Exchange Commission v. E. Herbert Hafen, Civil Action No. ...
SEC Charges Investment Adviser with Defrauding Its Advisory Clients Litigation Release No. 24581 / August 29, 2019 Securities and Exchange Commission v. Cetera Advisors, LLC, ...
The CFTC Order finds that for a number of years, from at least May 2011 and continuing through at least October 2014, Davisco accepted orders ...
The Order also finds that, rather than trade binary options on behalf of their clients, the Defendants misappropriated almost $2 million of client funds, and ...
Fisher submitted applications to the National Futures Association (NFA) to register Zero Chaos with the CFTC as a Commodity Trading Advisor (CTA) and to register ...
Between April and November 2014, while acting as a CPO for OCF, Oden improperly claimed an exemption from registration and violated numerous regulatory requirements for ...