SEC: GEL Direct Trust, GEL Direct, LLC, Jeffrey K. Galvani, and Stuart A. Jeffery Charged With Fraud

SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Trades. Don’t forget to follow the blog to get the latest in SEC news. And remember, be safe out there! from https://ift.tt/wU7A3gl via IFTTT

SEC: Weatherford International Plc, et al. Fraud

Notice of Proposed Plan of Distribution and Opportunity for Comment. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/EPyIHq7 via IFTTT

SEC: Charles Rustin Holzer, Fernando Motta Moraes Charged With Fraud

SEC Obtains Final Judgments Against Two Family Office Executives Charged with Insider Trading. Don’t forget to follow the blog to get the latest in SEC news. And remember, be safe out there! from https://ift.tt/89evCWO via IFTTT

SEC: Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited Fraud

Order Approving Plan Of Distribution And Directing Transfer Of Fair Fund. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/URhsyx6 via IFTTT

SEC: Cozad Asset Management Fraud

Order Authorizing The Transfer To The U.s. Treasury Of The Remaining Funds And Any Funds Returned to the Fair Fund In the Future And Terminating The Fair Fund. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/6bUjv5r via …

SEC: S&P Global Ratings Fraud

Order Instituting Administrative and Cease-and-desist Proceedings Pursuant To Sections 15e(D) and 21c Of The Securities Exchange Act Of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-desist Order. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/3DWxVgJ

SEC: Adrian J. Kawuba, Civ. Action Charged With Fraud

SEC Charges Massachusetts Resident with Conducting $2 Million Fraudulent Investment Offering. Don’t forget to follow the blog to get the latest in SEC news. And remember, be safe out there! from https://ift.tt/S8bG3Xi via IFTTT

SEC: Infinity Q Diversified Alpha Fund Charged With Fraud

SEC Seeks Special Master to Oversee Return of Remaining Funds to Harmed Investors of the Infinity Q Mutual Fund. Don’t forget to follow the blog to get the latest in SEC news. And remember, be safe out there! from https://ift.tt/bqlBYPR via IFTTT

SEC: Andy Chin Fong Chen, CPA Fraud

Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/LEud5IH via IFTTT