The Securities and Exchange Commission (SEC) has recently brought charges against Wilson J. Rondini, III, a resident of Florida, and two companies under his control,[...]
Broker / Advisor Investigations
The Securities and Exchange Commission (SEC) has made an announcement regarding a civil action filed on September 18, 2023, in the U.S. District Court for[...]
The Securities and Exchange Commission (SEC) has announced charges against Concord Management LLC, based in Tarrytown, New York, and its owner and principal, Michael Matlin.[...]
The Securities and Exchange Commission (SEC) has announced the resolution of charges against CBRE, Inc. (CBRE), a commercial real estate services and investment firm based[...]
The Securities and Exchange Commission (SEC) has taken action against Lyft Inc. today, alleging that the company failed to disclose a board director’s involvement in[...]
The Securities and Exchange Commission today announced settled fraud charges against GlennCap LLC, a Connecticut-based investment advisory firm, and its owner, Jonathan Vincent Glenn, for[...]
The Securities and Exchange Commission (SEC) has taken action against Stoner Cats 2 LLC (SC2), alleging that they conducted an unregistered offering of crypto asset[...]
The Securities and Exchange Commission (SEC) has taken action against NDB, Inc. (“NDB”), a private startup based in San Francisco, California, and its CEO, Nima[...]
On September 11, 2023, the Securities and Exchange Commission (SEC) filed a complaint in federal court in Minnesota, alleging fraudulent activities by Robyn A. Bowman[...]
James Anglim (CRD #: 3040791) was barred by the SEC, as reported in his most recent BrokerCheck disclosure accessed on September 5, 2023. Further details[...]