June 2016 – Page 2 – SEC ACTIONS

Month: June 2016

SEC Files Two Proceedings Against Investment Advisers

Posted on June 28, 2016 by T. Gorman Posted in SECActions

The Commission filed two proceedings centered on investment advisers. One is based on improper fee and trading practices. The second is based on the misappropriation of funds from pooled investment vehicles by the adviser. In the Matter of WFG Advisors, …

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Tagged with: investment advisers, SEC

SEC Charges Another China Based Firm With Fraud

Posted on June 27, 2016 by T. Gorman Posted in SECActions

The key to China based Longwei Petroleum Investment Holding Limited’s business was its storage facilities for oil, gas, fuel oil and solvents, claimed to be the largest in the area. While the firm repeatedly made representations about its storage capacity …

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Tagged with: China, SEC

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