Morningstar Inc. allegedly made adjustments to 30 commercial mortgage-backed securities valued at $30 billion.
Tagged with "SEC"
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SEC Sues Morningstar Over Undisclosed Changes to Bond Ratings
Posted on February 24th, 2021 at 3:37 PM
SEC Wants Court-Appointed External Monitor to Protect GPB Capital Investors
Posted on February 17th, 2021 at 9:22 AM
After charging GPB Capital executives with fraud, The Securities Exchange Commission (SEC) wants an external monitor to govern GPB Capital actions.
SEC Charge GPB Capital Executive and Others With Fraud
Posted on February 9th, 2021 at 2:33 PM
The Securities and Exchange Commission (SEC) charged three individuals and their entities with running a scheme that raised over $1.7 billion from securities issued by a New York based management firm and GPB Capital.
Insurance Agent Continues to Sell Despite Lengthy Disciplinary History
Posted on January 20th, 2021 at 4:23 PM
Ronald D. Morley has a long history of securities misconduct. He was barred from selling securities in 2006 by Maryland state regulators.
SEC Files Charges Against Jacob Glick
Posted on January 19th, 2021 at 4:08 PM
The U.S. Securities and Exchange Commission (“SEC”) announced that it had filed charges against former Advanced Practice Advisor, LLC (“APA”) advisor Jacob C. Glick of Scottsdale, Arizona
SEC Files Suit Against Advanced Practice Advisors and CEO Paul Spitzer
Posted on January 15th, 2021 at 10:35 AM
The U.S. Securities and Exchange Commission (“SEC”) has filed a lawsuit against Advanced Practice Advisors, LLC (“APA”), a former SEC-registered investment adviser, and the firm’s CEO, Paul C. Spitzer.
SEC Files Suit Against Eric Malley and MG Capital Management
Posted on January 12th, 2021 at 9:27 AM
The U.S. Securities and Exchange Commission (“SEC”) has filed a lawsuit against Eric C. Malley, and his company MG Capital Management L.P.
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.
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