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Examinations Enforcement: SEC Actions
Baccam offered and sold these and other promissory notes from October 2010 through July 2013, and in doing so told investors that the funds raised ...
Buck failed to inform the customers that their total annual commissions were exceeding the promised limits and falsely represented to several customers that their total ...
The SEC has removed the “acting” from Peter Driscoll’s job title and elevated him to OCIE director. He had been named as acting director in ...
The SEC alleges that John Rogicki, managing director and chief compliance officer of Train Babcock Advisors LLC, has been stealing funds from the charity for ...
A New York-based investment adviser reported to his clients last June total assets of at least $21.8 million. Authorities allege the reality was decidedly different. ...
The Commission’s complaint alleged that, on at least four occasions between September 2009 and July 2010, Megalli traded shares of Carter’s, based on material nonpublic ...
Richard Cody: Defendant in SEC Enforcement Action Indicted for Investment Adviser Fraud and Lying...
The indictment also alleges that Cody lied to the SEC during a March 2017 sworn deposition in connection with the SEC's action against Cody. Cody ...
The complaint alleges that the investor funds were supposed to be invested in a master fund that would use a quantitative stock trading strategy. ...
The Securities and Exchange Commission announced today that it obtained a final judgment by default against a former broker charged with knowingly or recklessly trading ...
The SEC's complaint alleges that Tarek D. Bahgat, a former resident of Williamsville, N.Y. who now lives in Egypt, misappropriated money from seven of his ...