The Securities and Exchange Commission (SEC) has officially pressed charges against Blake Cathey for the unauthorized sale of securities from Florida-based entities Accanito Equity, LLC,[...]
Broker / Advisor Investigations
The Securities and Exchange Commission (SEC) has taken legal action against Richard Heart, also known as Richard Schueler, along with three unincorporated entities under his[...]
The Securities and Exchange Commission (SEC) has unveiled charges against Clarice Saw, a former registered representative associated with a broker-dealer in New York. The allegations[...]
The Securities and Exchange Commission (SEC) has taken legal action against Brent Seaman of Naples, Florida, and several entities under his management for engaging in[...]
The Securities and Exchange Commission (SEC) has taken legal action against investor Joseph C. Lewis for allegedly providing material nonpublic information to his then-girlfriend, Carolyn[...]
The Securities and Exchange Commission (SEC) has announced the initiation of legal action against Brandon Charnas, a real estate broker based in New York and[...]
Together with Weinstein, the Securities and Exchange Commission (SEC) has charged Aryeh L. Bromberg, Joel L. Wittels, Richard M. Curry, Christopher J. Anderson, and Alaa[...]
The Securities and Exchange Commission (SEC) has taken legal action against Alexander Elbanna and three entities under his ownership and control for their involvement in[...]
The U.S. District Court for the District of Oregon has issued final judgments against Robert D. Christensen and Anthony M. Matic, both residents of Oregon,[...]
The Securities and Exchange Commission (SEC) made an official announcement regarding the resolution of the case against Ryan Morgan Evans, the last remaining defendant involved[...]