The Securities and Exchange Commission (SEC) has taken legal action against Dharma Teja Nukarapu, a resident of Apex, North Carolina, and India, along with the[...]
Broker / Advisor Investigations
The Securities and Exchange Commission (SEC) announced today that Esos Rings, Inc., and its principal, Michelle Silverstein aka Michelle Silverstein Bisnoff, have reached a settlement[...]
The Securities and Exchange Commission (SEC) has taken legal action against Virtu Americas LLC, a broker-dealer, and its parent company, Virtu Financial Inc. (collectively referred[...]
Today, the Securities and Exchange Commission (SEC) has taken action by announcing charges against five investment advisers for their failure to comply with regulations pertaining[...]
The Securities and Exchange Commission (SEC) has taken action against Prime Group Holdings LLC, a private equity firm that specializes in alternative real estate asset[...]
The Securities and Exchange Commission (SEC) has taken legal action against Jeremy Koski, a resident of Hawaii, on charges of securities fraud. This legal action[...]
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[...]
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[...]