Examinations Enforcement: Settlement

The SEC contends that on at least thirty-two separate occasions beginning in or about August 2004 through in or about August 2013, Herzing prepared false ...

Schoenberger misappropriated at least $67,000, which he used for, among other things, a down payment on the construction of a new home and to pay ...

Merrill willfully violated Rule 203(b) of Regulation SHO, according to the SEC.

These proceedings arise out of a fraudulent scheme in which insiders of publicly traded penny stock companies paid secret kickbacks to a purported corrupt hedge ...

The Commission’s complaint in the 2010 Action alleged that Grant made material misrepresentations and omissions to his former brokerage customers in order to induce them ...

The Commission’s amended complaint alleged that Zirinsky engaged in unlawful insider trading by purchasing the common stock of Philadelphia Consolidated Holdings Corp. (“Philadelphia Consolidated) in advance ...

The SEC alleges that Adam S. Gottbetter orchestrated promotional campaigns that touted the prospects of microcap companies and enticed investors to buy their stock at ...

Weides sold over $1.9 million in Bixby securities to at least 28 investors. As compensation for his sale of these securities, Weides received at least ...

Between 2006 and 2012, Diversified and its principal officers, Havanich, DellaSala, and Welch, raised at least $17.4 million from approximately 440 investors nationwide through a series ...

This matter relates to Deutsche Bank’s overvaluation of certain Leveraged Super Senior (LSS) trades during the height of the global financial crisis which resulted in misstatements ...