The Securities and Exchange Commission today charged Randy Robertson, a former BlackRock Advisors, LLC portfolio manager, for failing to disclose a conflict of interest arising from his relationship with a film distribution company in which the fund he… Full report at: Read More

The Securities and Exchange Commission today charged Neil Chandran, Garry Davidson, Michael Glaspie, Amy Mossel, Linda Knott, AEO Publishing Inc, Banner Co-Op, Inc, and BannersGo, LLC for their involvement in a fraudulent investment scheme named CoinDeal… Full report at: Read More

SEC Obtains Judgment Against Individual in Multi-Million Dollar Securities Offering Fraud Read the full report at Read More

SEC Obtains Partial Judgments Against Two CodeSmart Defendants Read the full report at Read More

SEC Obtains Final Judgment Against Individual Behind Bogus Tender Offer Read the full report at Read More

The Securities and Exchange Commission today announced fraud charges against Cooper J. Morgenthau, the former CFO of African Gold Acquisition Corp., a SPAC or special purpose acquisition company, for orchestrating a scheme in which he stole more than $5… Full report at: Read More

The Securities and Exchange Commission today announced that former federal prosecutor Antonia M. Apps will become Regional Director of the New York Regional Office next month. Thomas Smith and Maurya Keating, who have served as Acting Co-Directors,… Full report at: Read More

SEC Obtains Final Judgment Against Arizona Man for Defrauding Elderly Investors Read the full report at Read More

The Securities and Exchange Commission today voted to approve the 2023 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. “The PCAOB plays a critical role to ensure that investors can trust a… Full report at: Read More

SEC Obtains Judgment Against Individual in Multi-Million Dollar Securities Offering Fraud Read the full report at Read More