Home Examinations Enforcement: SEC Actions
Examinations Enforcement: SEC Actions
Mark Varacchi: Court Enters Judgment Against Connecticut Man and His Investment Advisory Firm and...
Sentinel and Varacchi misrepresented to investors that money they deposited with the firm would be allocated to up-and-coming hedge fund managers for investment purposes. According ...
Reyftmann and others perpetrated a fraudulent markup/markdown scheme by falsifying trade execution prices and embedding hidden markups or markdowns on over 36,000 customer transactions. Through ...
The false or misleading statements and undisclosed excessive mark-ups that are the subject of the Order took place in the context of certain intra-day trades ...
Kamal Zuhdi Abdallah: SEC Files Fraud Charges Against Recidivist Securities Violator Using Fake Name
The SEC alleges that, while serving the supervised release portion of his criminal sentence in United States v. Abdallah, 09-cr-717 (E.D.N.Y.), Abdallah used a fictitious ...
Making $6,000 in under 10 minutes would make a lot of people’s day. The problem for Kevin Amell is that that option trade was ...
Final legal arguments were filed April 24 as an investment adviser accused of marketing fraud contests the SEC’s actions on the grounds that the agency’s ...
The indictment charged, inter alia, that Khan committed securities and investment adviser fraud by, among other things, falsely telling prospective investors that their investments in ...
Thomas Edward Andrews defrauded investors by convincing them to liquidate other investments and invest in "the Jackson Trust" and "the Lincoln." Andrews allegedly told investors ...
The SEC alleges that Avaneesh Krishnamoorthy learned that Golden Gate Capital planned to acquire Neustar Inc., and he then began trading in Neustar securities. The ...
The SEC's complaint alleges that Demitrios Hallas repeatedly traded unsuitable investments in his customers' accounts, exposing customers who were unsophisticated with limited or no investing ...