The Securities and Exchange Commission today announced that it has filed an emergency action and obtained a temporary restraining order and asset freeze against three individuals and three entities in connection with an alleged fraudulent,… from Press Releases https://ift.tt/2OeZgrL via IFTTT
SEC.gov: Jay Daniel Seinfeld, Sara Beth Postma, Traditions Capital Management LLC, and Hospice Patient Aid Program, Inc.
SEC Charges Defendants Who Used Fake Charity to Defraud the Terminally III from SEC.gov Updates: Litigation Releases https://ift.tt/2QcGsvJ via IFTTT
SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants
The Securities and Exchange Commission today announced that it has proposed rules to update the statistical disclosures that bank and savings and loan registrants provide to investors, and eliminate disclosures that overlap with Commission rules, U.S.… from Press Releases https://ift.tt/2ApFRvV via IFTTT
SEC.gov: Tom Simeo
SEC Charges Former Company Executive with Fraud for False Disclosures About Management from SEC.gov Updates: Litigation Releases https://ift.tt/2LBVua0 via IFTTT
Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors
The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees on inactive retail client accounts and charging excess commissions for brokerage customer investments in… from Press Releases https://ift.tt/30l1tnK via IFTTT
SEC.gov: Jan Atlas
SEC Charges South Florida Securities Attorney with Issuing Misleading Opinion Letters that Furthered Fraud on Thousands of Retail Investors from SEC.gov Updates: Litigation Releases https://ift.tt/302jpax via IFTTT
SEC.gov: John Henderson and Global Resources Leadership LLC
SEC Charges IIIinois Company and Its President with Affinity Fraud Targeting Christian Investors from SEC.gov Updates: Litigation Releases https://ift.tt/31vUtFQ via IFTTT
SEC.gov: Jay Daniel Seinfeld, Sara Beth Postma, Traditions Capital Management LLC, and Hospice Patient Aid Program, Inc.
SEC Charges Defendants Who Used Fake Charity to Defraud the Terminally III from SEC.gov Updates: Litigation Releases https://ift.tt/2QdNjVD via IFTTT
Two Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data
The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurate… from Press Releases https://ift.tt/31yBw5K via IFTTT
SEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential
The Securities and Exchange Commission today charged two subsidiaries of Prudential Financial Inc. with failing to disclose conflicts of interest and making misleading disclosures to the boards for 94 funds they advised. According to the SEC's order,… from Press Releases https://ift.tt/303t69M via IFTTT
SEC Investigations 