SEC Enforcement: Fake Notre Dame Grad Charged With Fraud
In other enforcement actions, a biopharm exec, doctor and patient settled insider trading charges.
DOL, SEC Enforcement: CEO Steals Detroit Police, Firefighter Pension Cash to Buy Strip Malls
The CEO of MayfieldGentry Realty Advisors in Detroit was charged along with four others for stealing $3.1 million from the pension fund; meanwhile, Whittier Trust was slammed for insider trading.
SEC Enforcement Roundup: Radio Financial Guru Charged
Recent SEC enforcement actions include charges against a California man who tipped off a hedge fund manager with inside information and a radio personality who misled investors about an investing plan.