Tagged with "SEC"

SEC Charges New Mexico Investment Advisor with Fee Fraud and Fiduciary Breaches

Posted on June 30th, 2025 at 2:46 PM
SEC Charges New Mexico Investment Advisor with Fee Fraud and Fiduciary Breaches

The Securities and Exchange Commission (“SEC”) has charged David A. Nagler and his firm, New Line Capital LLC, with defrauding clients through deceptive fee disclosures and undisclosed conflicts of interest.

 

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SEC Charges Marine Veteran in $2.5 Million Ponzi Scheme

Posted on June 26th, 2025 at 12:11 PM
SEC Charges Marine Veteran in $2.5 Million Ponzi Scheme

The Securities and Exchange Commission (“SEC”) has charged Marine Corps veteran Christopher Aubin with fraud, accusing him of running a $2.5 million Ponzi scheme that defrauded dozens of investors, including several of his former military colleagues.

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SEC Charges Former Real Estate CEO in $46 Million Investment Fraud Scheme

Posted on June 19th, 2025 at 11:21 AM
SEC Charges Former Real Estate CEO in $46 Million Investment Fraud Scheme

The Securities and Exchange Commission (“SEC”) has charged Kenneth Mattson, former CEO of LeFever Mattson, with orchestrating a $46 million investment fraud scheme that targeted approximately 200 investors, many of them retired senior citizens
from his church community in California.

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SEC Charges Three Texas Residents in $91 Million Ponzi Scheme

Posted on May 28th, 2025 at 12:14 PM
SEC Charges Three Texas Residents in $91 Million Ponzi Scheme

The Securities and Exchange Commission (“SEC”) has filed charges against Kenneth W. Alexander II, Robert D. Welsh, and Caedrynn E. Conner, all Dallas-Fort Worth residents, for orchestrating a Ponzi scheme that raised at least $91 million from over 200 investors.

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SEC Charges Crypto Promoter in $198 Million Fraud Scheme

Posted on May 14th, 2025 at 11:46 AM
SEC Charges Crypto Promoter in $198 Million Fraud Scheme

The Securities and Exchange Commission (“SEC”) has charged Ramil Palafox for orchestrating a massive securities fraud scheme through his now-defunct company, PGI Global (Praetorian Group International Corporation).

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SEC Charges Three Individuals in $284 Million Arizona Sports Complex Bond Fraud by Legacy Cares

Posted on May 6th, 2025 at 11:42 AM
SEC Charges Three Individuals in $284 Million Arizona Sports Complex Bond Fraud by Legacy Cares

The Securities and Exchange Commission has filed a civil enforcement action against Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga for allegedly defrauding investors in two municipal bond offerings that raised $284 million.

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Cambridge Investment Research Advisors to Pay $15 Million Fine Over Undisclosed Conflicts in Investment Recommendations

Posted on April 30th, 2025 at 11:37 AM
Cambridge Investment Research Advisors to Pay $15 Million Fine Over Undisclosed Conflicts in Investment Recommendations

Cambridge Investment Research Advisors (CIRA) has agreed to pay $15 million to settle allegations brought by the Securities and Exchange Commission (SEC), which accused the firm of failing to disclose multiple conflicts of interest in its investment recommendations.

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SEC Accuses Upright Financial and Founder of Breaching Prior Settlement and Misleading Investors

Posted on April 24th, 2025 at 2:14 PM
SEC Accuses Upright Financial and Founder of Breaching Prior Settlement and Misleading Investors

According to InvestmentNews, the Securities and Exchange Commission (“SEC”) has charged registered investment advisor Upright Financial Corp. and its founder, David Yow Shang Chiueh, for violating a prior settlement agreement and continuing a pattern of misconduct that allegedly defrauded investors and breached fiduciary duties.

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SEC Charges Hedge Fund Founder with Fraud in $4 Million Scheme

Posted on April 17th, 2025 at 1:59 PM
SEC Charges Hedge Fund Founder with Fraud in $4 Million Scheme

The Securities and Exchange Commission (SEC) has charged Alan Burak, founder of Never Alone Capital LLC, with orchestrating a fraudulent investment scheme that raised approximately $4 million from investors.

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SEC Updates Marketing Rule Guidance to Clarify Extracted Performance and Portfolio Metrics

Posted on March 21st, 2025 at 2:20 PM
SEC Updates Marketing Rule Guidance to Clarify Extracted Performance and Portfolio Metrics

The Securities and Exchange Commission (SEC) has issued updated guidance on its marketing rule, addressing industry concerns regarding net performance requirements, extracted performance, and portfolio characteristics.

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LATEST NEWS AND ARTICLES

June 30, 2025
SEC Charges New Mexico Investment Advisor with Fee Fraud and Fiduciary Breaches

The Securities and Exchange Commission (“SEC”) has charged David A. Nagler and his firm, New Line Capital LLC, with defrauding clients through deceptive fee disclosures and undisclosed conflicts of interest.

 

June 27, 2025
FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessary firm approval.

June 26, 2025
SEC Charges Marine Veteran in $2.5 Million Ponzi Scheme

The Securities and Exchange Commission (“SEC”) has charged Marine Corps veteran Christopher Aubin with fraud, accusing him of running a $2.5 million Ponzi scheme that defrauded dozens of investors, including several of his former military colleagues.