• SEC Charges Three Unregistered Dealers with Registration Violations
  • SEC Charges Convicted Felon with Defrauding Seniors and Making Misleading Statements in SEC Filings
  • SEC Charges Louisiana-Based Investment Adviser Representative with Cherry-Picking and His Former Firm with Compliance Failures
  • SEC Charges EB-5 Operator with Securities Fraud
  • SEC Charges Diagnostic Imaging Company and its former CEO for misrepresenting the manufacturing costs of its flagship device.
  • SEC Shuts Down Zera Financial LLC Offering Fraud