Author Archives: Scam Buster

SEC.gov: Motty Mizrahi et al.

Indictment Issued Against Investment Adviser Named in SEC Action from SEC.gov Updates: Litigation Releases https://ift.tt/2U1IJbe via IFTTT

Fee Rate Advisory #1 for Fiscal Year 2020

The Securities and Exchange Commission today announced that in fiscal year 2020 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $129.80 per million dollars. Background The securities… from Press Releases https://ift.tt/2ZlcyIV via IFTTT

SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme

The Securities and Exchange Commission yesterday charged New York-based broker-dealer AOC Securities LLC, and its former chief executive officer, Ronaldo Gonzalez, with failing to supervise an AOC broker who provided inflated price quotes for certain… from Press Releases https://ift.tt/33Q6ho0 via IFTTT

SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice

The Securities and Exchange Commission today provided guidance to assist investment advisers in fulfilling their proxy voting responsibilities. The guidance discusses, among other matters, the ability of investment advisers to establish a variety of… from Press Releases https://ift.tt/33LXFyM via IFTTT