SEC, FINRA Enforcement: More Charged in Football-Related Boiler Room Scheme
In other actions, the SEC charged the CEO of penny stock company CytoGenix, and his so-called business partner, with defrauding investors via false press releases.
SEC Charges 10 Brokers in $125M Scam
Regulators say the scheme affected some 750 investors who lost $80 million; two individuals involved have received jail sentences.
SEC Names Calamari Head of New York Regional Office
The office has responsibility for more than 4,000 investment banks, investment advisors, broker-dealers, mutual funds and hedge funds.
SEC Charges 14, Many Brothers, in $415M Ponzi Scheme
The agents illegally sold securities for a Long Island-based investment firm that was not registered with the SEC, but was instead the creator of a $415 million Ponzi scheme.