The Securities and Exchange Commission (SEC) has announced the resolution of charges against Luther Speight & Company, LLC (LSC), an audit firm based in New[...]
Broker / Advisor Investigations
In a recent development, the Securities and Exchange Commission (SEC) has initiated legal proceedings against Adam R. Long of Dorado, Puerto Rico, along with two[...]
In a recent development, the U.S. Securities and Exchange Commission (SEC) has taken legal action against convicted felon Stephone N. Patton and his associated companies,[...]
The Securities and Exchange Commission (SEC) has filed a complaint in the U.S. District Court for the Eastern District of Louisiana against Steven J. Jacobson,[...]
The Securities and Exchange Commission (SEC) has filed charges against a Utah resident, Christofer Shurian, and an entity under his control, Utah Regional Investment Fund,[...]
The Securities and Exchange Commission (SEC) has brought charges against Nano-X Imaging Ltd., an Israel-based diagnostic imaging company, and its former CEO, Ran Poliakine, for[...]
The Securities and Exchange Commission (SEC) has taken swift action by obtaining an emergency order to halt an alleged ongoing offering fraud and Ponzi-like scheme[...]
The Securities and Exchange Commission (SEC) has filed charges against four individuals, including Anthony Viggiano, a former analyst at a prominent investment firm and later[...]
The Securities and Exchange Commission (SEC) has taken action against Spruce Power Holding Corporation, based in Denver, which is the successor to XL Fleet Corp.[...]
The Securities and Exchange Commission (SEC) has taken action against Newell Brands Inc., a Georgia-based consumer products company, and its former CEO, Michael Polk, for[...]