The Securities and Exchange Commission (SEC) has taken action by filing charges against multiple entities in the financial industry, including broker-dealers and investment advisers, for[...]
Broker / Advisor Investigations
The Securities and Exchange Commission (SEC) has taken legal action against Prager Metis CPAs, LLC, and its California-based counterpart, Prager Metis CPAs LLP (together referred[...]
Douglas MacWright and his firm, Highlander Capital Management, ran a multi-year scheme that produced more than $1 million in fraudulent gains, the SEC alleged. A[...]
The Securities and Exchange Commission (SEC) has taken legal action against former executives of Pareteum Corp., a New York-based telecommunications company, over their involvement in[...]
The Securities and Exchange Commission (SEC) has taken legal action against Exelon Corporation, its subsidiary Commonwealth Edison Company (ComEd), and former ComEd CEO Anne Pramaggiore,[...]
The Securities and Exchange Commission (SEC) has taken legal action against Tilila Walker Sumchai, a resident of Richmond, California, for her involvement in a fraudulent[...]
The Securities and Exchange Commission (SEC) has officially filed charges against three siblings residing in Southern California – Marco A. Perez (known as Marc), Pedro[...]
The Securities and Exchange Commission (SEC) has announced charges against six individuals who served as officers, directors, or major shareholders of publicly traded companies for[...]
The Securities and Exchange Commission (SEC) has officially disclosed the resolution of fraud charges against Hyzon Motors Inc., a company based in upstate New York[...]
The Securities and Exchange Commission (SEC) has made an official announcement regarding the settlement of charges against registered investment adviser AssetMark Inc., based in Concord,[...]