A management company, its principal, a brokerage firm and its founder were charged with fraud in an administrative proceeding initiated by the Commission. In the Matter of John Thomas Capital Management Group LLC, Adm. Proc. File No. 3-15255 (March 22, …
Brokerage Founder and Fund Manager Charged With Fraud by SEC Read More »
The SEC and the U.S. Attorney’s Office in Manhattan continue to work closely together, policing the markets. While typically that partnership spawns insider trading cases, this time it resulted in a civil enforcement action against four brokers and criminal charges …
Brokers Charged by SEC and DOJ for Fraudulent Mark ups and Mark Downs Read More »