Search for: "SEC v. Singer"
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20 Jun 2020, 1:50 am
Scottsdale Capital Advisors Corporation, Appellant, v. [read post]
6 Sep 2022, 4:06 am
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC (BrokeAndBroker.com Blog)FINRA board member's firm settles cases without disclosure of conflicts (Financial Planning by Tobias Salinger)SEC Charges Former Vice President of Medical Device Company with Insider Trading (SEC Release)Aspiration Financial Loses Oddball Pro Se Customer FINRA ArbitrationIn the Matter of the Arbitration Between Aspiration Financial LLC, Claimant, v. [read post]
1 Aug 2022, 4:04 am
Georgia Court of Appeals Reverses Leggett v. [read post]
27 Jun 2020, 2:54 am
(Bloomberg by Kit Chellel and Liam Vaughan)2Cir Sustains Regulation Best InterestXY Planning Network, LLC et al. v. [read post]
12 Jun 2023, 4:15 am
SEC Sends FINRA Expungement Back to the Future (BrokeAndBroker.com Blog) Federal Court Denies Alpine's Emergency Motion for a Preliminary Injunction or Temporary Restraining Order against FINRAScottsdale Capital Advisors Corporation And Alpine Securities Corporation, Plaintiffs, v. [read post]
17 Jun 2021, 3:25 am
Collins v. [read post]
28 Feb 2022, 3:42 am
No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)Wells Fargo Slammed With $1 Million Defamation/Fraud Award in FINRA ArbitrationIn the Matter of the Arbitration Between Aaron Olson, Claimant, v. [read post]
8 Jan 2018, 3:12 am
SEC Charges Florida Penny Stock Operators With Defrauding Elderly Investors in Push to Crack Down on Repeat Offenders (SEC Litigation Release No. 24026) https://www.sec.gov/litigation/litreleases/2018/lr24026.htm In Securities and Exchange Commission v. [read post]
21 Feb 2019, 9:31 am
BREAKING NEWS: United States Securities and Exchange Commission, Plaintiff, v. [read post]
22 Dec 2017, 8:44 am
Court Holds Registered Investment Adviser and Its Principal in Contempt for Failing to Comply with a Court Order Enforcing an SEC Investigative Subpoena (SEC Litigation Release 24021)https://www.sec.gov/litigation/litreleases/2017/lr24021.htm The SEC obtained a Contempt Order https://www.sec.gov/litigation/complaints/2017/lr24021-contempt-order.pdfin Securities and Exchange Commission v. [read post]
20 Feb 2017, 5:17 am
Circuit's January 17, 2017, decision in Bartko v. [read post]
13 Dec 2019, 12:38 am
In the Matter of the Department of Enforcement, Complainant, v. [read post]
20 Jun 2018, 4:54 am
BREAKING NEWS: Lucia V. [read post]
7 Jan 2022, 11:54 am
(BrokeAndBroker.com Blog)SEC Obtains Partial Judgment Against Wisconsin Investment Adviser Charged with Defrauding Clients (SEC Release)Former Financial Controller Sentenced to Prison for Embezzling Almost Half a Million Dollars from Family-Owned San Diego Business (DOJ Release)FINRA Arbitration Panel Awards Intellivest Services Damages in Raiding Case Against Growth Capital ServicesIn the Matter of the Arbitration Between Intellivest Securities, Inc., Claimant, v. [read post]
14 May 2021, 4:09 am
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks (BrokeAndBroker.com Blog)SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud (SEC Release)In an Order Determining Whistleblower Award Claims (SEC Order)FINRA Arbitrator Recommends Expungement of Customer Complaint by Non-CustomerIn the Matter of the Arbitration Between Gordon David Wollman, Claimant v. [read post]
25 Jul 2022, 4:10 am
A Personal Message From Stephen Kohn, Candidate for FINRA 2022 Small Firm Governor (BrokeAndBroker.com Blog)<a href="#buyer">SEC Charges Former Indiana Congressman with Insider Trading/ Stephen Buyer allegedly used inside information to buy $1.5 million in stocks (SEC Release)</a>Another SEC Whistleblower Treated Like Crap and Failed by the LawVictor Hong, Petitioner, v. [read post]
7 Nov 2020, 3:38 am
Identities of SEC Whistleblower and Respondent Bank Outed(BrokeAndBroker.com Blog)Christopher Brummer, Plaintiff, v. [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC Release)Investment Advisor… [read post]
22 Jan 2018, 4:32 am
Glick pled guilty to one count of wire fraud under in United States v. [read post]
2 Nov 2018, 6:30 am
Investment Adviser Settles SEC Fraud Charges (SEC Litigation Release No. 24331)https://www.sec.gov/litigation/litreleases/2018/lr24331.htmSecurities and Exchange Commission v. [read post]
