Tag: broker dealer

Typically broker-dealers and other regulated entities resolve Commission investigations prior to the institution of any proceedings. A west coast broker-dealer alleged to be a recidivist, however, chose not to resolve failure to supervise claims by the agency that are alleged …

SEC Charges of Failure to Supervise by BD Heading For Hearing Read More »

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The Commission filed another action centered on retail investors. In this case two employees of a well known Financial Institution took advantage of firm clients over a period of three years, defrauding them of thousands of dollars. SEC v. Polese, …

SEC Charges Two Advisers With Fraud Tied to Retail Investors Read More »

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