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[...]
Broker / Advisor Investigations
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[...]
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,[...]
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[...]