The Securities and Exchange Commission (SEC) announced that on September 5, 2023, the U.S. District Court for the District of Connecticut issued judgments against two[...]
Broker / Advisor Investigations
Today, the Securities and Exchange Commission (SEC) has taken action by announcing charges against five investment advisers for their failure to comply with regulations pertaining[...]
Today, the Securities and Exchange Commission secured a preliminary injunction against Mina Tadrus and Tadrus Capital LLC in connection with an alleged Ponzi scheme. This[...]
The U.S. District Court for the Southern District of New York issued a final judgment against Canadian resident George Stubos. In June 2022, the SEC[...]
The Securities and Exchange Commission (SEC) has taken legal action against Dharma Teja Nukarapu, a resident of Apex, North Carolina, and India, along with the[...]
The Securities and Exchange Commission (SEC) announced today that Esos Rings, Inc., and its principal, Michelle Silverstein aka Michelle Silverstein Bisnoff, have reached a settlement[...]
The Securities and Exchange Commission (SEC) has taken legal action against Virtu Americas LLC, a broker-dealer, and its parent company, Virtu Financial Inc. (collectively referred[...]
Today, the Securities and Exchange Commission (SEC) has taken action by announcing charges against five investment advisers for their failure to comply with regulations pertaining[...]
The Securities and Exchange Commission (SEC) has taken action against Prime Group Holdings LLC, a private equity firm that specializes in alternative real estate asset[...]
The Securities and Exchange Commission (SEC) has taken legal action against Jeremy Koski, a resident of Hawaii, on charges of securities fraud. This legal action[...]