The Securities and Exchange Commission (SEC) has announced that Fluor Corporation, based in Irving, Texas, will pay $14.5 million to settle charges related to improper[...]
Broker / Advisor Investigations
The Securities and Exchange Commission (SEC) has announced that it has reached a settlement with Linus Financial, Inc. The settlement is related to charges of[...]
The Securities and Exchange Commission (SEC) has announced that it has settled charges against Monolith Resources LLC, a privately held energy and technology company headquartered[...]
The Securities and Exchange Commission (SEC) has announced charges against nine registered investment advisers for promoting hypothetical performance on their websites without implementing the necessary[...]
The Securities and Exchange Commission (SEC) has taken action against Alfonse Gregory Giugliano, CPA, the former National Assurance Services Leader at Marcum LLP, a public[...]
The Securities and Exchange Commission (SEC) has announced a settled action involving New York-based YieldStreet Inc. and its registered investment adviser subsidiary, YieldStreet Management LLC[...]
The Securities and Exchange Commission (SEC) announced that on September 5, 2023, the U.S. District Court for the District of Connecticut issued judgments against two[...]
The Securities and Exchange Commission (SEC) announced that on September 5, 2023, the U.S. District Court for the District of Connecticut issued judgments against two[...]
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[...]
Today, the Securities and Exchange Commission secured a preliminary injunction against Mina Tadrus and Tadrus Capital LLC in connection with an alleged Ponzi scheme. This[...]