AlphanumeNEWS
Subscribe
Menu

Regulatory Actions

SEC and Justice Department actions against people in the industry. Charges are labeled as allegations until a court or agency finds otherwise.

  1. Regulatory
    SEC charges Meyer Global Management LLC over alleged misappropriation schemeschargedAllegations, not findings
  2. Regulatory
    Zoe Financial, Inc. settles SEC charges over alleged breaches of fiduciary dutysettled without admitting or denying
  3. Regulatory
    SEC bars Giovanni Pennetta from association with any broker, dealer or investment adviserbarred
  4. Regulatory
    Javier Aguilar sentenced to 48 months in prison in bribery and money laundering schemes casesentenced
  5. Regulatory
    William Carlton pleads guilty in cherry-picking scheme casepleaded guilty
  6. Regulatory
    Keith Wakefield sentenced to 16 years and eight months in federal prison in unauthorized speculative bond trading casesentenced
  7. Regulatory
    Justice Department charges Vuk Vukovic over alleged securities fraud and wire fraudchargedAllegations, not findings
  8. Regulatory
    Waldon Fenster agrees to settle SEC charges over allegedly misappropriating client funds, subject to court approvalsettled without admitting or denying
  9. Regulatory
    Theodore Woo pleads guilty in securities fraud casepleaded guilty

Follow the feeds

RSSAtomJSON Feed