SEC Actions

Steven Pagartanis was a registered representative associated with broker-dealers registered with the Commission. Pagartanis, 60 years old, is a resident of East Setauket, New York ...

During the Relevant Cash Sweep Period, even though a money market fund that did not result in revenue sharing payments was always available to it, ...

The Director of the Division of Examinations is responsible for the compliance inspections and examinations relating to the regulation of exchanges, national securities associations, clearing agencies, ...

B-Ds that conduct a substantial securities business and thus are in a position to potentially pose significant risk to investors and to the fair, orderly, ...

At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...

New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...

"In March 2020, in connection with an economic shock from the onset of the COVID-19 pandemic, certain types of money market funds had significant outflows ...

Munish Sood made eight payments totaling $24,500 to Agent2. In return, Agent2 referred several amateur basketball players (now NBA players) to PWM. Three of those ...

"The aura of success portrayed by the GPB and Ascendant Defendants was an illusion. In reality, GPB Capital used investor funds to cover the shortfall ...

Amogh Karney made untrue statements to an investor in connection with the offer and sale of $75,000 of securities in an investment fund that Karney ...