The U.S. Securities and Exchange Commission (“SEC”) has filed a lawsuit against Eric C. Malley, and his company MG Capital Management L.P.
Tagged with "SEC"
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SEC Files Suit Against Eric Malley and MG Capital Management
Posted on January 12th, 2021 at 9:27 AM
SEC Files Suit Against DeAndre Sears for Role in EquiAlt Ponzi Scheme
Posted on January 7th, 2021 at 3:29 PM
The U.S. Securities and Exchange Commission (“SEC”) has filed a lawsuit against DeAndre P. Sears and his company MASears LLC, also known as Picasso Group
Voya Hit with $22.9 Million Fine by SEC
Posted on January 6th, 2021 at 3:45 PM
Voya Financial Advisors has agreed to pay $22.9 million to settle charges brought by the U.S. Securities and Exchange Commission (“SEC”) alleging failures to disclose conflicts of interest and making misleading statements to clients.
SEC Issues Investor Alert for Covid-19-Related Scams
Posted on December 15th, 2020 at 10:49 AM
In an Investor Alert email sent out on December 14, the U.S. Securities and Exchange Commission (“SEC”) warned of an increase in investment scams related to COVID-19.
BlueCrest Capital Management Agrees to Pay $170 Million to the SEC
Posted on December 9th, 2020 at 4:19 PM
BlueCrest Capital Management has agreed to pay $170 million to settle allegations from the U.S. Securities and Exchange Commission (“SEC”) that the firm misled investors.
SEC files Charges Against Former Wells Fargo Executives
Posted on December 1st, 2020 at 4:03 PM
The U.S. Securities and Exchange Commission (“SEC”) announced that it had filed charges against John G. Stumpf, Wells Fargo’s Former CEO and Chairman, as well as Carrie L. Tolstedt, former head of Wells Fargo’s Community Bank.
Securities America Advisors Settles SEC Charges Related to the Sale of Volatility-Linked Exchange-Traded Products
Posted on November 23rd, 2020 at 2:58 PM
Securities America Advisors, Inc. has agreed to settle charges brought by the U.S. Securities and Exchange Commission (“SEC”).
American Portfolios Financial Services Settles SEC Charges Related to the Sale of Volatility-Linked Exchange-Traded Products
Posted on November 18th, 2020 at 12:54 PM
American Portfolios Financial Services, Inc. (“APFS”) has agreed to settle charges brought by the U.S. Securities and Exchange Commission (“SEC”).
Summit Financial Group Settles SEC Charges Related to the Sale of Volatility-Linked Exchange-Traded Products
Posted on November 16th, 2020 at 1:09 PM
Summit Financial Group, Inc. has agreed to settle charges brought by the U.S. Securities and Exchange Commission (“SEC”).
Philadelphia Man Sued for Fraud
Posted on November 13th, 2020 at 12:27 PM
In July 2020, Dean Vagnozzi settled charges brought by the U.S. Securities and Exchange Commission (“SEC”) that alleged that Vagnozzi had sold more than $32 million in unregistered securities offerings and that Vagnozzi acted as an unregistered broker.
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