Examinations Enforcement: Settlement

the broker, Donald J. Fowler, while registered with J.D. Nicholas & Associates Inc., a now-defunct broker-dealer located in Syosset, New York, engaged in fraud when ...

The Commission’s complaint alleged that Payton committed insider trading by trading on material, nonpublic information that he received in breach of a duty regarding the ...

Rios did knowingly and willfully conspire with Jaswant Singh Gill and others known and unknown, to commit offenses against the United States, specifically, to devise ...

As a result of this conduct, Wedbush, at times, facilitated short selling and enabled the settlement of trades with ADRs that were not actually backed ...

The Commission’s complaint alleged that Respondent engaged in various schemes to defraud her clients from 2013 through 2018. These schemes included: (1) forging withdrawal requests ...

From January 2013 to February 2015, Palermo benefited from a manipulative trading scheme carried out by his long-time friend, a day trader (“Trader A”), that ...

Stephen Brandon Anderson obviously didn’t display a flair for the chief compliance officer role. That’s why a new settlement in an SEC enforcement action blocks ...

In September 2012, Anderson sent a letter notifying clients that River Source was raising its maximum annual advisory fee from 1.0% to 1.25% for clients ...

The indictment alleges that Premock raised approximately $1.3 million from his clients by making numerous misrepresentations, including that the clients would earn high rates ...

Lindell obtained unauthorized control over funds designated for the purchases of securities by his client and diverted the funds to his personal use and/or ...