This article was originally published by Financial-Planning.com As the SEC charts a new course under Chairman Jay Clayton and his top lieutenants, enforcement actions against[…]
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (commonly referred to as the SEC) is a government agency whose mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. When investment advisors, stockbrokers, and investment firms violate SEC rules, the investors who rely on those entities to handle their funds in a responsible and ethical manner often sustain significant losses.
If your advisor or investment firm has been charged with violating SEC rules, contact our SEC attorneys today for a free consultation: 305.912.3000.
This article was originally published by InvestmentNews.com The commission sent subpoenas to 235 LLCs it believes are connected to the Woodbridge Group of Companies, inquiring[…]
This article was originally published by Law360.com Law360, New York (September 20, 2017, 8:35 PM EDT) — The U.S. Securities and Exchange Commission on Tuesday[…]
This article was originally published by Financial-Planning.com Four former LPL Financial advisors misled hundreds of federal employees into rolling over $40 million from their retirement[…]
This article was originally published by Law360.com NFL Player Adviser Settles With SEC Over Unregistered Sales By Cara Mannion Law360, New York (February 13, 2017,[…]
This article was originally published by TheHill.com. Barclays Capital will pay more than $97 million after being accused of overcharging clients for financial advice and[…]
Washington D.C., March 27, 2017 — The Securities and Exchange Commission today announced an emergency asset freeze and temporary restraining order against a Chicago-based investment[…]
The Sonn Law Group is currently investigating complaints related to InvenTrust Properties. Until recently, this firm went by the name Inland American Real Estate Trust.[…]
In late 2016, the Financial Industry Regulatory Authority (FINRA) submitted a proposed new rule to the Securities Exchange Commission (SEC) meant to protect older adults[…]
The Securities and Exchange Commission recently announced charges against Oppenheimer & Co. for violating federal securities laws by improperly selling penny stocks in unregistered offerings[…]