SEC Charges Three Additional Investment Advisers for Recommending Ponzi Scheme to Clients Read the full report at Read More

The Securities and Exchange Commission today charged New Jersey-based investment adviser Energy Capital Partners Management LP (ECP) with allocating undisclosed, disproportionate expenses to a private equity fund it advises. ECP agreed to pay a $1… Full report at: Read More

SEC Charges Tar Sands Mining Company and Former Executives with Fraud Read the full report at Read More

The Securities and Exchange Commission today announced that investment advisory firm Weiss Asset Management LP has agreed to pay approximately $6.9 million to settle charges that it violated the federal securities laws when it unlawfully purchased stock… Full report at: Read More

The Securities and Exchange Commission today announced insider trading charges against David Roda, a former software engineer at Penn National Gaming’s subsidiary Penn Interactive Ventures, in connection with the parent company’s $2 billion acquisition… Full report at: Read More

The Securities and Exchange Commission today charged three Charles Schwab investment adviser subsidiaries for not disclosing that they were allocating client funds in a manner that their own internal analyses showed would be less profitable for their… Full report at: Read More

SEC Charges New York-Based Investment Adviser and Its CEO and Former Chief Compliance Officer with Securities Violations Read the full report at Read More

SEC Obtains Final Judgment Against a Rhode Island Investment Adviser Charged with Orchestrating Multi-Million Dollar Ponzi Scheme Read the full report at Read More

SEC Obtains Final Judgment Against Former Partner At Global Consulting Firm Read the full report at Read More

Court of Appeals Affirms Order Against Terraform and Kwon in SEC Subpoena Enforcement Action Read the full report at Read More