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29 Jan 2024, 12:00 pm
Ponzi Scheme Allegations April 19, 2022 – Financial Advisor Shawn Good Barred after Allegations of Running Ponzi Scheme Financial advisor Shawn Good from Wilmington, NC, was charged by the Securities and Exchange Commission (SEC) for allegedly running a multimillion-dollar Ponzi scheme. [read post]
26 Jan 2024, 8:58 am
Securities and Exchange Commission (SEC) or Commodities Futures Trading Commission (CFTC). [read post]
26 Jan 2024, 8:27 am
Ex-Morgan Stanley Advisor Allegedly Defrauded 10 Clients of $3.45 Million The Securities and Exchange Commission (SEC) has reportedly filed charges against Jesus Rodriguez, (CRD# 4888685) a former financial advisor, for defrauding ten brokerage account holders and advisory clients of over $3.475 million. [read post]
26 Jan 2024, 6:30 am
Securities and Exchange Commission, on Thursday, January 25, 2024 Tags: IPOs, SEC, Shell Companies, SPACs, Special purpose acquisition companies [read post]
26 Jan 2024, 6:30 am
Securities and Exchange Commission, on Thursday, January 25, 2024 Tags: IPOs, SEC, Shell Companies, SPACs, Special purpose acquisition companies [read post]
26 Jan 2024, 6:00 am
Coinbase has asked the court to dismiss the Securities and Exchange Commission’s lawsuit alleging the largest U.S. crypto exchange is flouting its rules. [read post]
READ BELOW: Financial Advisor, Jesus Rodriguez, Faces SEC Charges for Stealing Millions from Clients
26 Jan 2024, 5:03 am
Introduction: In a recent development, the Securities and Exchange Commission (SEC) has filed charges against Jesus Rodriguez, a former financial advisor, for perpetrating a massive fraud scheme. [read post]
25 Jan 2024, 9:01 pm
” Unlike whistleblower programs run by agencies like the Securities and Exchange Commission, Commodity Futures Trading Commission and the Financial Crimes Enforcement Network of the Department of the Treasury, the Program does not offer financial incentives for reporting misconduct. [read post]
25 Jan 2024, 8:35 am
The civil action, initiated by the Securities and Exchange Commission (SEC), alleged that McKelvey misappropriated over $1.7 million from two elderly brokerage customers who were close relatives. [read post]
25 Jan 2024, 4:06 am
Consideration should be given to, among other things: “(a) asset management; (b) access controls; (c) encryption; (d) communications security; (e) physical and environmental security; [and] (f) operations security. [read post]
24 Jan 2024, 9:03 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
24 Jan 2024, 9:01 pm
For instance, the Commission dismisses the only timelines that are relevant to SPACs: the duration limits imposed by exchange listing rules. [read post]
24 Jan 2024, 4:29 pm
It was an active year for fraud enforcement at the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
24 Jan 2024, 1:47 pm
Cadaret, Grant & Company – Sanctioned for Conflicts of Interest June 28, 2017 – The Securities and Exchange Commission (SEC) settled administrative and cease-and-desist proceedings against Cadaret, Grant & Co., Inc. [read post]
23 Jan 2024, 1:23 pm
The probe came after a voluntary document request from the US Securities and Exchange Commission focused on what ADM said was “intersegment transactions” involving its nutrition unit, which makes ingredients for human and animal foods. [read post]
22 Jan 2024, 9:05 pm
This post comes to us from Professor Sarah J. [read post]
22 Jan 2024, 9:01 pm
Alan’s legacy and work at the Commission staff still resonates on the securities industry and market participants today. [read post]
22 Jan 2024, 8:14 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
21 Jan 2024, 9:01 pm
The FTC’s appeal seeks to, among other things, clarify the appropriate standard for securing a preliminary injunction under Section 13(b) of the FTC Act. [read post]
19 Jan 2024, 11:08 am
On December 12, 2023, the Department of Justice (“DOJ”) issued guidance related to the process by which companies may request the United States Attorney General authorize delays of cyber incident disclosures, pursuant to a new Securities and Exchange Commission (“SEC”) rule. [read post]
