SEC Charges Infinity Q Investment Adviser with Fraud; Seeks Monitor to Oversee Return of Remaining Funds to Harmed Investors of the Infinity Q Private Fund Read the full report at Read More

The Securities and Exchange Commission today announced that registered investment adviser Pacific Investment Management Company LLC (PIMCO) will pay $9 million to settle two enforcement actions relating to disclosure and policies and procedures… Full report at: Read More

The Securities and Exchange Commission today announced that Michele Layne, the Director of the Los Angeles Regional Office, is leaving the agency this month after more than 27 years of service. Cindy Eson and Kate Zoladz will become Acting Co-Directors… Full report at: Read More

SEC Charges Ohio Investment Adviser with Misappropriating Over $1.3 Million from a Retail Investor Read the full report at Read More

SEC Charges Two Individuals in Connection with Fraudulent Scheme to IIIegally Sell Stock to the Public Read the full report at Read More

SEC Charges Pennsylvania Man in $30 Million Offering Fraud Read the full report at Read More

The Securities and Exchange Commission today charged investment adviser Sabby Management LLC and its managing partner, Hal D. Mintz, with fraud in connection with a long running scheme involving misrepresentations and violations of rules for short… Full report at: Read More

The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled a public service campaign that encourages older investors to never stop learning when it comes to protecting their hard-earned money and investing… Full report at: Read More

SEC Obtains Final Judgment Against Investment Adviser Tarek D. Bahgat Read the full report at Read More

The Securities and Exchange Commission today adopted rule changes to remove and replace references to credit ratings from existing exceptions provided in Rule 101 and Rule 102 of Regulation M, a set of rules that prohibits activities that could… Full report at: Read More