On August 25, 2023, the Securities and Exchange Commission (SEC) took legal action against Deyonte Jahtori Anthony, a 23-year-old resident of Concord, North Carolina. Anthony[...]
Broker / Advisor Investigations
The Securities and Exchange Commission has taken legal action by filing a complaint against Brady Speers, Chatree “Ben” Thiranon, and GHAP, LLC, operating under the[...]
The Securities and Exchange Commission has recently brought forward allegations against William V. Conn, Jr., who is a certified public accountant hailing from Sandy Springs,[...]
The Securities and Exchange Commission has officially disclosed the resolution of cease-and-desist proceedings involving Citigroup Global Markets Inc. (CGMI), a prominent broker-dealer. The company has[...]
The Securities and Exchange Commission has formally announced charges against Archipelago Trading Services Inc. (ATSI) due to its failure to submit numerous mandatory reports regarding[...]
The Securities and Exchange Commission has taken legal action against Impact Theory, LLC, a media and entertainment firm headquartered in Los Angeles. The company has[...]
The Securities and Exchange Commission (SEC) has made public its announcement regarding 3M Company’s resolution to pay over $6.5 million to settle charges of violating[...]
The Securities and Exchange Commission (SEC) has taken legal action against former New Jersey State Correctional Police Officer, John A. DeSalvo, for his alleged involvement[...]
The Securities and Exchange Commission has recently made public its allegations against Romero Cabral da Costa Neto, accusing him of engaging in insider trading activities.[...]
The Securities and Exchange Commission (SEC) has officially brought forth charges against Titan Global Capital Management USA LLC, a FinTech investment advisor based in New[...]