Month: April 2016

The Commission brought another in a series of actions centered on ConvergEx Execution Solutions LLC and its affiliates. As with the prior actions, this one centered on secretly adding substantial commissions to transactions which were far higher than the normal …

SEC Files Another In A Series of Actions Tied to Secret Commissions Read More »

Tagged with: , ,

A former Texas Attorney General and state representative combined with others at a computer firm to promote the shares of the company which claimed to compete with Dell, Apple and others. About $26 million in stock was sold through private …

Former Texas AG, Computer Company Charged by SEC With Fraud Read More »

Tagged with: ,