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.
Tagged with "SEC"
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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.
SEC Issues Risk Alert for Multi-Office RIA Practices
Posted on November 10th, 2020 at 8:59 AM
The U.S. Securities and Exchange Commission (“SEC”) issued a risk alert warning of inadequate supervision in RIA practices with multiple branches.
SEC Charges Three Individuals with Acting as Unregistered Brokers
Posted on November 9th, 2020 at 2:01 PM
The U.S. Securities and Exchange Commission (“SEC”) announced that it has charged Hughe Duwayne Graham, Donald Lee Howard, and Larry Louis Matyas (collectively, the “Defendants”) with acting as unregistered brokers.
SEC Awards $28 million to Whistleblower
Posted on November 6th, 2020 at 1:59 PM
The U.S. Securities and Exchange Commission (“SEC”) announced that it awarded more than $28 million to a whistleblower as part of the SEC’s Whistleblower program.
SEC Issues Statement on Complex Products
Posted on November 5th, 2020 at 3:38 PM
The U.S. Securities and Exchange Commission (“SEC”) released a Joint Statement from Chairman Jay Clayton as well as the directors of three SEC divisions, which provided guidance regarding complex financial products and retail investors.
SEC Seeks to Enforce 2014 Settlement with City of Harvey
Posted on October 30th, 2020 at 11:21 AM
In December 2014, the city of Harvey, IL, settled claims made by the U.S. Securities and Exchange Commission (“SEC”) that Harvey misled investors regarding a municipal bond.
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