The Securities and Exchange Commission (SEC) has announced that it has reached a settlement with RSE Markets Inc. regarding charges of operating as an unregistered[...]
Broker / Advisor Investigations
The Securities and Exchange Commission has taken urgent action to put a stop to an alleged Ponzi scheme orchestrated by Nayeem Choudhury, a resident of[...]
The Securities and Exchange Commission (SEC) has announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding[...]
The U.S. District Court for the Southern District of New York has entered a final judgment on consent against Andrew DeFrancesco, the former Chairman of[...]
The Securities and Exchange Commission (SEC) has taken action against Caz L. Craffy, a former U.S. Army financial counselor, charging him with defrauding Gold Star[...]
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[...]
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[...]