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[...]
Broker / Advisor Investigations
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[...]
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[...]