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SEC Charges Radio Host With Concert Ticket Investment Scam

On September 6, 2017, the Securities and Exchange Commission charged a sports radio personality and another New York City resident […]

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Former Registered Reps Settle Market Manipulation Charges Of Attempting To Push OTC Stock To Nasdaq

On September 5, 2017, three former registered representatives settled charges brought by the Securities and Exchange Commission. The SEC claimed […]

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Securities and Exchange Commission Charges Connecticut Broker with Defrauding Elderly Customers

On Thursday, August 31, 2017, the SEC charged a Connecticut-based broker and investment adviser and his company with fraudulently convincing […]

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Securities And Exchange Commission Files Charges Against Men In Oil Drilling Investment Scheme

On August 30, 2017, the Securities and Exchange Commission announced that it had filed a civil injunctive action against two […]

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SEC Charges Former Financial Adviser Dawn J. Bennett With Defrauding Investors

On Monday, August 28, 2017, the Securities and Exchange Commission announced it had charged a former financial adviser with defrauding […]

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SEC Freezes Assets Of Colorado Springs Broker Accused Of Stealing Client Funds

On August 24, 2017, the Securities and Exchange Commission announced that it had acquired an emergency court order and asset […]

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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 […]

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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 […]

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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 […]

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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 […]

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