Year: 2012

The Commission filed two administrative proceedings centered on churning and failure to supervise claims involving Atlanta broker dealer JP Turner. One named as Respondents the firm co-founder and president, William Mello which settled. In the Matter of JP Turner & …

SEC Brings Proceedings Involving Failure to Supervise and Churning Read More »

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The SEC filed another case tied to the market crisis and Bernard Madoof last week. Despite claims that he successfully managed a complex, international web of entities and funds through the market crisis without losses, the Commission alleges that international …

SEC and CFTC Bring Actions Against International Investment Manager Read More »

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