Month: November 2014

A business man, a real estate company he acquired from his grandfather, a registered representative who has now been barred by FINRA from the securities business and Maryland Division of Securities from the advisory business and an unnamed broker teamed-up …

SEC Files Another Offering Fraud Action Read More »

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The SEC filed another settled FCPA action. The proceeding named two individuals as Respondents. It centers on using expensive gifts and travel as bribes. In the Matter of Stephen Timms, Adm. Proc. File No. 3-16281 (November 17, 2014). Respondents Stephen …

SEC Files Settled FCPA Charges Against Two Individuals Read More »

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