SEC.gov: Jayat P. Kanetkar and Guaranteed Investigations, Inc.

SEC Charges Attorney with Role in Investment Schemes from SEC.gov Updates: Litigation Releases https://ift.tt/30VOJoO via IFTTT

SEC Names Monique Winkler as Associate Regional Director in San Francisco Office

The Securities and Exchange Commission today announced that Monique C. Winkler has been named Associate Regional Director for enforcement in the San Francisco Regional Office.  Ms. Winkler succeeds Erin E. Schneider, who became Regional Director of… from Press Releases https://ift.tt/2Zuoc5f via IFTTT

SEC Monitoring Impact of Hurricane Dorian on Capital Markets

The Securities and Exchange Commission is closely monitoring the impact of Hurricane Dorian on investors and capital markets. The SEC divisions and offices that oversee companies, accountants, investment advisers, mutual funds, brokerage firms,… from Press Releases https://ift.tt/32fBzmC via IFTTT

SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal

The Securities and Exchange Commission today announced it has filed charges and obtained a consented-to asset freeze against San Diego-based ANI Development LLC, its principal, Gina Champion-Cain, and a relief defendant, for operating a multi-year $300… from Press Releases https://ift.tt/2ZoZGlT via IFTTT

SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players

The Securities and Exchange Commission today charged a Tallahassee-based investment adviser firm and its two former principals with defrauding investors, most of whom were retired NFL players who had joined a class-action lawsuit against the league… from Press Releases https://ift.tt/2zsE48L via IFTTT