Advisor Charged in Multimillion-Dollar Options Trading Scheme: Enforcement
The SEC also obtained a $58 million judgment against the perpetrator of international pump-and-dump scheme involving Marley Coffee.
SEC: Barred Broker Bilked Retirees to Fund E-Cigarette Business
The broker, formerly of the firm depicted in "The Wolf of Wall Street," also used client funds for trips to the tanning salon, SEC says.
SEC Nabs 3 Brokers for Excessive Trading
The SEC also charged an investment advisory firm and its owner with lying about experience and past performance.
Businessman Stole Investor Funds for Packers Tickets, SEC Says: Enforcement
Also, FINRA censures and fines Goldman Sachs, State Street and UBS.
Botox Doctor Charged in Insider Trading Case: Enforcement
Meanwhile, petrochemical giant Braskem agrees to pay investors $10 million for its role in the Petrobras scandal.
State Street to Pay $35M Over Secret Markups, Disclosure Failures: Enforcement
In another action, the SEC charged an investment advisor with stealing more than $1 million to go gambling and pay other expenses.
Former ‘Myth Busting’ Radio Host Charged With Fraud: Enforcement
The SEC also charged a former financial advisor with defrauding investors and spending their money on herself.
SEC Says Broker Stole From Clients to Pay Mortgage, Credit Cards: Enforcement
Meanwhile, a hedge fund manager agreed to pay $4.6 million for failing to enforce policies that prevent insider trading.
Hedge Fund Fined for Taking Investor Money to Support Other Funds: Enforcement
And FINRA fined Wells Fargo Securities $3.25 million for failing to report all of its reportable conventional options positions.
Ex-Con, Buddies Duped Investors in $15M Oil Drilling Scheme, SEC Says
The phony oil drilling investment scheme promised returns as high as 55%.