Tag: broker

SEC: Broker Defrauded Long Time Clients in Fake Land Deal

The retail investor focus of SEC Enforcement continued this week. First there was an action based on a microcap fraud. Then a case involving the so-called “blockchain evangelist” and crypto currency fraud and then a touting proceeding involving a microcap

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PORTUGUESE BANK SETTLES WITH SEC AND NY AG

The SEC and the New York Attorney General settled actions against a major Portuguese Bank based on violations of, respectively, the federal securities laws and the New York Martin Act. The Commission case centers on alleged violations of Securities Act

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