sec logo

Investment Advisor Charged with Defrauding Professional Athlete and his Wife

On Tuesday, August 22, 2017, the Securities and Exchange Commission announced charges against investment advisor Jeremy Drake with defrauding two […]

Read More
Tags: , , Comments Off on Investment Advisor Charged with Defrauding Professional Athlete and his Wife
sec logo

SEC Acquires Bar and Penalty from Founder and CEO of BioChemics Inc.

On August 22, 2017, the Securities and Exchange Commission confirmed it had obtained a final judgment against the founder and […]

Read More
Tags: , , , Comments Off on SEC Acquires Bar and Penalty from Founder and CEO of BioChemics Inc.
sec logo

SEC Obtains Final Judgment Against Former CEO Of Systems America Inc.

In June of this year, the Securities and Exchange Commission filed fraud charges against Adesh Kumar Tyagi. The defendant is […]

Read More
Tags: , , , Comments Off on SEC Obtains Final Judgment Against Former CEO Of Systems America Inc.
sec logo

SEC Obtains Penalty and Bars in Consent Judgment Against CEO of Developer of Wind Turbines

This week, the Securities and Exchange Commission announced that it had acquired a final consent judgment against the CEO of […]

Read More
Tags: , , , , Comments Off on SEC Obtains Penalty and Bars in Consent Judgment Against CEO of Developer of Wind Turbines
sec logo

Adz On Wheelz Operator Charged With Operating A $5.7 Million Ponzi Scheme

On Wednesday, the Securities and Exchange Commission announced that a Las Vegas resident had been charged with operating a $5.7 […]

Read More
Tags: , , , , Comments Off on Adz On Wheelz Operator Charged With Operating A $5.7 Million Ponzi Scheme
sec logo

SEC Acquires Penalties and Bars Against Bankrate Executives

On Wednesday, the Securities and Exchange Commission announced that it had obtained final judgments against two men who formerly worked […]

Read More
Tags: , , , Comments Off on SEC Acquires Penalties and Bars Against Bankrate Executives
sec logo

Game Companies And Principal Charged With Misleading 33 Investors Across The Country

On Wednesday, the Securities and Exchange Commission announced that two video game companies and their principal had agreed to pay […]

Read More
Tags: , , , Comments Off on Game Companies And Principal Charged With Misleading 33 Investors Across The Country
sec logo

SEC Charges 7 Individuals For Trading on Insider Information About Dozens Of Mergers and Acquisitions

On Wednesday, August 16, 2017, the Securities and Exchange Commission announced insider trading charges again seven individuals. The defendants are […]

Read More
Tags: , , Comments Off on SEC Charges 7 Individuals For Trading on Insider Information About Dozens Of Mergers and Acquisitions
sec logo

KPMG Charged With Audit Failures Agrees To Pay $6.2 Million To Settle Charges

On August the 15th of 2017, the Securities and Exchange Commission announced that KPMG had agreed to pay more than […]

Read More
Tags: , , , Comments Off on KPMG Charged With Audit Failures Agrees To Pay $6.2 Million To Settle Charges
sec logo

Beverly Hills Developer Agrees To Settlement After Engaging In Property Flipping Investment Scheme

On August the 11th, the Securities and Exchange Commission announced fraud charges against the operator of five real estate development […]

Read More
Tags: , , Comments Off on Beverly Hills Developer Agrees To Settlement After Engaging In Property Flipping Investment Scheme