Washington, DC (STL.News) The US Securities and Exchange Commission filed an Administrative Proceeding (File No. 3-15987) against Dominick & Dominick LLC and Robert X. Reilly for order authorizing the transfer of the US Treasury of the remaining funds and any funds returned to the Disgorgement Fund in the future and terminating the Disgorgement Fund.
Washington, DC (STL.News) The US Securities and Exchange Commission (SEO) filed an Administrative Proceeding on December 21, 2020 (File No. 3-20181) against Cormark Securities, Inc. for a Cease-and-Desist Proceeding pursuant to Section 21(c) of The […]
Washington, DC (STL.News) On October 1, 2020, the U.S. District Court for the Eastern District of Pennsylvania entered a final consent judgment against Nicholas Tornello, a former senior accountant at Hill International, Inc. The SEC‘s […]
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 […]