The Securities and Exchange Commission today filed a settled action against registered investment adviser Infinity Q Capital Management, LLC for mispricing the net asset value,[...]
Broker / Advisor Investigations
The Securities and Exchange Commission (SEC) revealed that charges have been settled against BHP Capital NY, Inc., a dealer of convertible notes, and its managing[...]
The Securities and Exchange Commission (SEC) has taken legal action against Native American Energy Group, Inc., its CEO, Joseph D’Arrigo, and David Hudzik, a former[...]
The Securities and Exchange Commission (SEC) revealed that Pacific Investment Management Company LLC (PIMCO), a registered investment adviser, has agreed to a $9 million settlement[...]
The Securities and Exchange Commission (SEC) took legal action against Patrick Thayer from Cincinnati, Ohio. Thayer, who was once a double-registered agent and financial advisory[...]
Today, the SEC has brought charges against Joseph A. Padilla and Kevin C. Dills, both residents of California. The SEC’s lawsuit posits that Padilla orchestrated[...]
The U.S. Securities and Exchange Commission (SEC) has initiated legal proceedings against Josh S. Verne over allegations of orchestrating a fraudulent scheme worth approximately $30[...]
In a thought-provoking turn of events, two high-profile lawsuits involving art fraud draw attention to the issue of “best practices” in the art world. Adam[...]
Umpqua Bank, headquartered in Portland, Oregon, is facing accusations of assisting and participating in a large-scale Ponzi scheme. These allegations have led to a second[...]
A class action lawsuit against Eli Lilly & Company, based in Indianapolis, and Takeda Pharmaceuticals, a Japanese company, has recently been certified by a federal[...]