Tag: brokers

The pre-IPO market in which shares of emerging companies are often available has been a key focus in recent months. Congress, for example, passed the JOBS Act earlier this year which, of course, has little to do directly with jobs …

A Caution About The Lack of Information in Pre-IPO Markets Read More »

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The Commission filed two administrative proceedings centered on churning and failure to supervise claims involving Atlanta broker dealer JP Turner. One named as Respondents the firm co-founder and president, William Mello which settled. In the Matter of JP Turner & …

SEC Brings Proceedings Involving Failure to Supervise and Churning Read More »

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