The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan –… Full report at: Read More

SEC Charges “Millionaire Maker” Author with Selling Securities in Unregistered Oil and Gas Offerings Read the full report at Read More

The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the activities of certain “information providers,” including whether, under particular facts and circumstances, information… Full report at: Read More

SEC Halts Fraudulent Real Estate-Related Investment Offerings Read the full report at Read More

SEC Charges Former Employee of Online Gambling Company with Insider Trading Read the full report at Read More

The Securities and Exchange Commission today charged the City of Rochester, New York, its former finance director Rosiland Brooks-Harris, and former Rochester City School District CFO Everton Sewell with misleading investors in a $119 million bond… Full report at: Read More

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