Examinations Enforcement: Settlement

The Commission’s complaint alleged that Brown participated in three multi-million dollar offering frauds through various entities that he owned and/or controlled. First, between approximately 2008 and ...

Brown helped TCN raise over $12 million from investors for various estate planning products, including charitable gift annuities and charitable installment bargain sales. However, due ...

After working as a broker at two different firms for seven years, in July 2010 Montermoso began conducting investment advisory business through his newly-formed Metis Wealth ...

These proceedings arise out of a fraudulent scheme in which insiders of publicly-traded penny stock companies paid kickbacks to a purported hedge fund manager, who ...

Shad was charged by criminal information with two counts each of mail fraud and wire fraud on May 8, 2014 and pleaded guilty to all ...

In early 2013, Doak, Apostelos, and other individuals began operating OVO Wealth Management, a state-registered investment adviser. After approximately a year of operations, OVO was ...

Miller defrauded customers and obtained over $2.5 million in money and property by means of materially false and fraudulent pretenses, representations and promises concerning purported ...

He induced the Fund to commit a total of $4 million to an investment in a company that was purportedly planning to build and operate ...

Tunick knowingly put the interest of his Customer ahead of the interest of Rochdale's other customers. Also as a result of Tunick’s conduct, Rochdale essentially ...

As a result of Burke’s misconduct, certain other Rochdale customers generally paid higher average prices on purchase orders or received lower average prices on sale ...