The Securities and Exchange Commission (SEC) has announced that it has reached a settlement with View Inc., a California-based manufacturer of “smart” windows, regarding charges[...]
Broker / Advisor Investigations
The Securities and Exchange Commission has made an announcement regarding the recent developments in the legal proceedings related to Spartan Trading Company, LLC (Spartan Trading),[...]
The Securities and Exchange Commission (SEC) has obtained final judgments against Empires Consulting Corp. (EmpiresX) and its founders, Emerson Sousa Pires and Flavio Mendes Goncalves,[...]
The Securities and Exchange Commission has taken action against Vidul Prakash, the former Chief Financial Officer of View Inc., a California-based manufacturer specializing in “smart”[...]
The Securities and Exchange Commission (SEC) has taken legal action against Robert D. Christensen and Anthony M. Matic, both residents of Oregon, along with several[...]
The Securities and Exchange Commission (SEC) has made an announcement regarding insider trading charges against Amit Dagar, a former employee of Pfizer Inc., and his[...]
The Securities and Exchange Commission (SEC) has taken legal action by filing insider trading charges against Bruce Garelick, a former board member of Digital World[...]
The Securities and Exchange Commission (SEC) has taken legal action against former executives of MusclePharm Corp., a nutritional supplement company based in Las Vegas. The[...]
The Securities and Exchange Commission (SEC) made an important announcement today regarding its actions against Legend Venture Partners LLC, an unregistered broker-dealer based in New[...]
A resident of Coral Springs, aged 43, has been indicted in federal court for his alleged involvement in a fraudulent investment scheme worth $100 million,[...]