Examinations Enforcement: Settlement

This settlement concerns a violation of Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, underwriters are required to ...

The old phrase “do what you say you’re going to do” best describes why Eugene Mason, CCO at SFX Financial Advisory Management Enterprises ($15M in ...

This matter involves the failure of a mutual fund adviser and the funds’ board members to satisfy specific duties imposed upon them by Section 15(c) ...

Dodd-Frank sought to regulate the sale of security-based swaps to persons who are not “eligible contract participants.” For example, Dodd-Frank modified Section 5 of the Securities ...

The Commission’s amended complaint alleged that since at least 2005, Rode’s business partner, John Geringer, raised in excess of $60 million from investors by misrepresenting ...

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23284 / June 12, 2015 SEC v. Matthew G. Teeple et al., Civil Action 13-CV-2010 (SDNY)(VEC) SEC ...

The Securities and Exchange Commission announced that a trader residing in Canada has agreed to pay more than $1 million to settle charges that he ...

Donald Worswick, acting through Spectrum, offered and sold to at least five elderly investors $465,000 of investments in what he called “Private Joint Venture Credit ...

Valente is a former registered representative who had twice filed for bankruptcy, and who had founded ELIV after the Financial Industry Regulatory Authority permanently expelled ...

The securities fraud counts to which Schuster pled guilty alleged that between December 2005 and March 2006, Schuster, in connection with the offer or sale ...