Examinations Enforcement: SEC Actions

The counts of the indictment on which Shkreli was convicted charged, inter alia, that Shkreli committed securities fraud by, among other things: defrauding investors and ...

The Commission’s Complaint alleged that from at least October 2012 through May 2014, Gainer and others solicited investors to invest in the securities of KGTA ...

Respondent admitted to the FBI that he utilized unauthorized transfers from client accounts to pay his personal Discover credit card account and obtained money for ...

Elvidge admitted that between July 2010 through October 2012, he engaged in a scheme to defraud and used his position as a registered representative to ...

Reyes admitted that in 2008, Reyes convinced an investor to shift her real estate investments to United States Treasury Bonds and falsely confirmed to her ...

The SEC's complaint alleges that Rivas frequently tipped his girlfriend's father, James Moodhe, who traded on the information and used coded conversations and in-person meetings ...

Registrants outsourced their compliance responsibilities to Respondent Strategic Consulting Advisors, LLC (“SC Advisors”), a firm that offered compliance consulting and Chief Compliance Officer (“CCO”) services ...

As a result of the conduct described above, Osunkwo caused Aegis Capital’s violations of, Section 204 of the Advisers Act and Rule 204-1(a)(1) thereunder, which ...

The court found Steven Hicks of Ridgefield, Connecticut, liable on the SEC's claim that he misappropriated investor funds. The SEC has been actively litigating the ...

The Securities and Exchange Commission announced that it has obtained a final judgment against a Pittsburgh, Pa.-based financial adviser accused of taking money without permission ...