Home Examinations Enforcement: SEC Actions
Examinations Enforcement: SEC Actions
The SEC's complaint alleges that instead of investing the customers' money in such things as conventional brokerage accounts and so-called separately managed accounts as promised, ...
Mr. Navellier and his firm defrauded their clients and prospective clients, misleading them about the performance track record of the "Vireo AlphaSector" investment strategies that ...
The Court found that the two alleged manipulative trading schemes-if proven-would violate Sections 10(b) and 9(a)(2) of the Exchange Act and Section 17(a)(1) of the ...
The SEC's complaint alleges that Dawn J. Bennett and DJB Holdings LLC raised more than $20 million by selling notes issued by the company, a ...
The defendants, as alleged, sold penny stocks in unregistered distributions from their U.S. brokerage accounts of four shell company issuers, namely, Swingplane Ventures, Inc., Goff ...
Over the course of 13 years, Sonya D. Camarco, a resident of Colorado Springs, Colorado, stole money from her clients' accounts and then lied to ...
On August 22, 2017, the U.S. District Court for the Southern District of New York entered an order dismissing, with prejudice, the U.S. Securities and ...
King was a registered representative and investment adviser representative of Morgan Stanley Smith Barney (“MSSB”) and Wells Fargo Advisors, LLC (“WFA”), respectively. During this time, ...
From 2009 through 2013, Parthemer had approximately 40 active or retired professional athletes as brokerage customers and/or investment advisory clients, most of whom are members ...
The SEC alleges that Drake, then with Los Angeles-based HCR Wealth Advisors, deceived the clients for more than three years, telling them that they paid ...