SEC Blog Posts

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The Financial Industry Regulatory Authority (“FINRA”) has announced a fine of $4 million and required an […]

Barclays Capital has reached a settlement with the SEC to refund over $97 million in advisory […]

The SEC accused former broker Demitrios Hallas with trading leveraged Exchange Traded Funds (ETFs) and Exchange […]

Robert Tricarico, a former LPL broker, pleaded guilty to stealing $1.2 million from a client by […]

Aegis Capital Corp., which is a mid-sized brokerage firm out of New York City and has […]

Adam Blank, an investor in the alleged $81 million Ponzi scheme pertaining to the buying and […]

The SEC announced administrative proceedings against John D. Telfer, who worked for Meyers Associates, L.P. as […]

The SEC charged Dwayne Edwards with fraud and obtained an emergency asset freeze against the South […]

Citigroup will pay $18.3 million to settle charges made by the SEC claiming that it overcharged […]

Michael J. Breton, a Massachusetts investment adviser who the SEC accused of securities fraud, has agreed […]