SEC Obtains Judgments Against Three Defendants in a Microcap Fraud Scheme Read the full report at Read More

The Securities and Exchange Commission today announced that California-based Mattel Inc. has agreed to pay $3.5 million to settle charges relating to misstatements in its third and fourth quarter 2017 financial statements. Separately, the SEC is… Full report at: Read More

SEC Files Action Against Former Newage CEO Read the full report at Read More

SEC Obtains Nine Final Judgments in $345 Million Ponzi-Like Scheme Read the full report at Read More

Final Judgment Entered Against Former Microcap CEO Read the full report at Read More

New Jersey Real Estate Development Firm and Four Executives Charged with $600 Million Ponzi-Like Fraud Read the full report at Read More

SEC Obtains Final Judgment Against Recidivist Investment Adviser Charged with Defrauding Retirees Read the full report at Read More

The Securities and Exchange Commission today charged New Jersey-based National Realty Investment Advisors LLC (NRIA) and four of its former executives with running a Ponzi-like scheme that raised approximately $600 million from about 2,000 investors.… Full report at: Read More

The Securities and Exchange Commission today voted to adopt amendments to the electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs),… Full report at: Read More

SEC Obtains Court Order to Enforce Investigative Subpoenas Against Two Principals of Broadway Musical Fund Read the full report at Read More