Washington, DC (STL.News) The US Securities and Exchange Commission (SEO) filed an Administrative Proceeding (File No. 3-20183) against Voya Financial Advisors, Inc. for a Cease-and-Desist Proceeding pursuant to Section 15(b) of The Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of The Investment Advisers Act of 1940.
Washington, DC (STL.News) The Securities and Exchange Commission Friday, January 22nd, announced Melissa R. Hodgman, currently an Associate Director in the Commission’s Division of Enforcement, has been named Acting Director of the Division of Enforcement. […]
SEC continues to closely monitor the impact of COVID-19 on investors, funds, and investment advisers Washington DC (STL.News) Today, the Securities and Exchange Commission announced that it is extending conditional relief from the in-person voting […]
Washington, DC (STL.News) The Securities and Exchange Commission today charged Connecticut-based Revolution Lighting Technologies Inc. for an accounting fraud that falsely inflated its reported revenues over a four-year period. Four Revolution Lighting executives—CEO Robert LaPenta, […]