In a recent groundbreaking case, the Securities and Exchange Commission (SEC) has charged five individuals and four companies in a complex pre-IPO fraud scheme. This[...]
Broker / Advisor Investigations
On October 18, 2023, the Honorable Charles R. Breyer, presiding over the United States District Court for the Northern District of California, issued a default[...]
The Securities and Exchange Commission (SEC) has announced the filing of charges and a mutually agreed-upon asset freeze against an investment adviser based in Santa[...]
The Securities and Exchange Commission (SEC) has made an important announcement today regarding the intervention in an ongoing fraud scheme targeting the Indian American community,[...]
The Securities and Exchange Commission (SEC) has made an important announcement today regarding the intervention in an ongoing fraud scheme targeting the Indian American community,[...]
The Securities and Exchange Commission (SEC) has officially announced its pursuit of an order compelling Elon Musk to adhere to an investigative subpoena, which he[...]
Last week, the Securities and Exchange Commission (SEC) took legal action against Pisces Income Fund, LLC, Pisces Income Fund Parallel, LLC, along with their principals[...]
SEC Charges Virginia Resident with Operating a Ponzi Scheme that Targeted Chinese-American Community
The Securities and Exchange Commission (SEC) has taken legal action against Bin Hao, a resident of Virginia, and his company, Qidian LLC, alleging their involvement[...]
The Securities and Exchange Commission (SEC) has taken action against Michael E. Lewitt, a resident of Boca Raton, Florida, along with his investment advisory firm,[...]
The Securities and Exchange Commission (SEC) has announced the resolution of charges against Luther Speight & Company, LLC (LSC), an audit firm based in New[...]