The Securities and Exchange Commission (SEC) has taken legal action by filing a complaint in the U.S. District Court for the Central District of California[...]
Broker / Advisor Investigations
The Securities and Exchange Commission (SEC) has successfully secured a conclusive judgment in relation to the case against defendant Austin Mahone. The SEC had previously[...]
The Securities and Exchange Commission (SEC) has unveiled a resolution involving Theorem Fund Services LLC (TFS), a fund administrator situated in Boca Raton, Florida. TFS[...]
The Securities and Exchange Commission (SEC) has taken action against Canoo Inc., an electric vehicle company specializing in design and production, along with its former[...]
The Securities and Exchange Commission (SEC) has officially levied charges against Jose D. Rocha, a resident of Brockton, Massachusetts, for orchestrating a Ponzi scheme that[...]
The Securities and Exchange Commission (SEC) has announced significant legal actions involving Digital Licensing Inc., also known as “DEBT Box,” a company based in Draper,[...]
The Securities and Exchange Commission (SEC) has taken legal action against Ustocktrade LLC and its proprietor, Anthony Weeresinghe from Chestnut Hill, Massachusetts, charging them with[...]
The Securities and Exchange Commission (SEC) has officially filed a complaint against Mina Tadrus and Tadrus Capital LLC, connected to an alleged Ponzi scheme. The[...]
The Securities and Exchange Commission (SEC) has taken legal action by filing insider trading charges against Charles Rustin Holzer, who is a former broker and[...]
The Securities and Exchange Commission (SEC) has taken action against Samuel Masucci and the entities under his control, which he founded, on charges related to[...]