The Commission is correcting a final rule that appeared in the Federal Register on August 22, 2019. In the document, the Commission adopted capital and ...
SEC Obtains Sanctions Against Lek Securities and CEO, Including Bar Against CEO Litigation Release No. 24639 / October 10, 2019 Securities and Exchange Commission v. ...
From 2009 to 2017, Siva was associated with a broker-dealer and investment adviser registered with the Commission. Siva, 57 years old, is a resident of ...
SEC Charges Four Individuals in Broker Bribery Scheme Litigation Release No. 24637 / October 7, 2019 Securities and Exchange Commission v. Gino M. Pereira, Civil ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA sold AGF II securities in a private placement offering using offering ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, Allen, through his broker dealer PAA, sold AGF II securities in a ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA, through its owner Allen, sold AGF II securities in a private ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Regulation NMS under the Securities Exchange Act of 1934 (“Exchange Act”) to rescind ...
The count of the criminal indictment to which Jung pled guilty alleged, inter alia, that from October 2015 to October 2016, in violation of the ...
GFI publicly represented itself as an interdealer broker (“IDB”) that generally maintained the anonymity of customer identities when brokering securities trades and communicating with potential ...