SEC Charges CEO and President of Synergy Settlement Services with Fraudulent Operation of Special Needs Pooled…
Tag: US Securities and Exchange Commission
The US Securities and Exchange Commission (SEC) is a federal enforcement agency.
US Securities and Exchange Commission was created in 1929 after the stock market crash to enforce laws against market manipulation. The SEC enforces the Securities Exchange Act of 1933, Trust Indenture Act of 1939, Investment Advisors Act of 1940, Sarbanes-Oxley Act of 2002, and many other statutes. Section 4 of the Securities Exchange Act of 1934 helped create the agency.
SEC Administrative Proceeding – Resolute Capital Partners LTD
SEC files Administrative Proceeding against respondents Resolute Capital Partners LTD, LLC, Homebound Resources, LLC, Thomas J.…
SEC – Former Domino’s Pizza Accountant – $2M Penalty – Insider Trading
Former Domino’s Pizza Accountant Bernard L. Compton to Pay Nearly $2 Million Penalty for Insider Trading…
SEC – Rollins Inc – Settlement
Atlanta-Based Pest Control Company, Former CFO Charged with Improper Earnings Management Rollins Inc. Agrees to Pay…
SEC Charges Melville ten Cate with phony offer to purchase Textron
SEC: Takeover Bid of Fortune 500 Company, Textron was a Sham – SEC charged Melville ten…
SEC Charges – Richard Dow Rockwell – Dow Rockwell LLC
SEC Charges California Investment Adviser, Dow Rockwell LLC, and Richard Dow Rockwell for Undisclosed Conflicts of…
SEC: Final Judgment – Gregory Lemelson – Lemelson Capital Management
SEC Obtains Final Judgment Against Hedge Fund Adviser, Gregory Lemelson, and Lemelson Capital Management, Who Jury…
SEC – Administrative Proceeding – Stockman Kast Ryan
Washington, DC (STL.News) The US Securities and Exchange Commission (SEC) has filed an Administrative Proceeding (File…
SEC – Tra Jay Scarlett – Chatfield PCS – GO ECO Manufacturing
SEC Obtains Final Judgment Against Defendants Charged with Fraud Involving Sham Bottling Company – Tra Jay…
SEC Charges – Hari Sure – Lokesh Lagudu – Chotu Pulagam
SEC Charges Seven California Residents in Insider Trading Ring – Hari Sure – Lokesh Lgudu –…
SEC Awards $1.25 Million to Whistleblower – 03/28
Washington, DC (STL.News) The Securities and Exchange Commission today announced an award of $1.25 million to…