SEC Enforcement Roundup: Real Estate Ponzi Scheme; Hawaiian Boiler Room
Continuing investigations and charges against a China-based company and its executive and a Hawaii resident and the firms he used were among the enforcement activities reported by the SEC during the week.
SEC, FINRA Enforcement Roundup: Former Detroit Mayor, Movie Producer Charged
Among those finding themselves recently on the wrong end of an SEC action were a movie producer, former Detroit mayor Kwame Kilpatrick and a Shanghai-based auditing firm.
SEC Enforcement Roundup: Former Morgan Stanley Exec Charged; Mother-Daughter Scam
Recent enforcement actions by the SEC include charges against a former Morgan Stanley executive for violation of the Foreign Corrupt Practices Act and a mother and daughter and their attorney in a penny stock scheme.
SEC Enforcement Roundup: Egan-Jones Charged; H&R Block Arm to Pay $28 Million
The SEC this week announced several enforcement actions, which included charges brought against a ratings company and its owner and president and against a mortgage company, as well as a settlement reached in an insider trading case.