SEC Busts 3 Advisors for Falsifying State Registrations
The three firms claimed they did business in Wyoming, an unregulated state, while maintaining offices elsewhere, the SEC says.
SEC Busts 4 Insurance Agents in Scam Against Seniors
SEC charges four insurance agents for unlawfully selling securities in what turned out to be a multimillion-dollar fraud targeting retirees.
SEC Names Goodman National Associate Director of BD Exams
The SEC has named Kevin Goodman national associate director of the broker-dealer examination program in the Office of Compliance Inspections and Examinations.
SEC Sanctions Portfolio Manager for Lying to Chief Compliance Officer
He later tried to conceal his misconduct by creating false documents that purported to be pre-trade approvals, the SEC says.