Tagged with "Brian J. Polito"

Oil and Gas Company and Founder Plead Guilty to Ponzi Scheme

Posted on April 30th, 2015 at 2:52 PM
Oil and Gas Company and Founder Plead Guilty to Ponzi Scheme

The SEC accused GC Resources, LLC and its owner and sole operator of defrauding investors through the sale of interests in oil and gas wells that the company never owned.

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LATEST NEWS AND ARTICLES

April 18, 2024
SEC Fines Target Off-Channel Communications

The Securities and Exchange Commission (SEC) is ramping up its enforcement efforts targeting off-channel communications, particularly text messages, among investment advisory firms.

April 17, 2024
B. Riley Financial Again Delays Filing Audited Results

B. Riley Financial Inc. has encountered a setback in filing its audited results within an extended timeframe, adding to existing pressure amid concerns raised by short sellers regarding its association with a former business partner.

April 16, 2024
Former Wells Fargo Advisor Accepts Industry Bar Amidst Misuse of Client Funds Allegations

A former advisor with Wells Fargo Advisors Financial Network (FiNet) in Chicago, Jayson R. Pocius, has agreed to accept an industry bar rather than cooperate with a
Financial Industry Regulatory Authority (FINRA) investigation into allegations of misusing client funds.