The Securities and Exchange Commission today announced that Mellissa Campbell Duru has been named Deputy Director for Legal and Regulatory Policy in the Division of Corporation Finance. Ms. Duru most recently was a Special Counsel at Covington &… Full report at: Read More

SEC Obtains Default Judgments Against Unregistered Brokers for Conducting a Fraudulent and Unregistered Offering of Crypto Asset Securities Read the full report at Read More

SEC Obtains Final Judgments Against New York Investment Adviser and Others for Defrauding Investors in a Multi-Million Dollar Ponzi Scheme Read the full report at Read More

The Securities and Exchange Commission today proposed rule changes that would improve the resilience and recovery and wind-down planning of covered clearing agencies. The proposal would amend the existing rules regarding intraday margin and the use of… Full report at: Read More

The Securities and Exchange Commission today announced charges against 10 microcap companies for offering and selling securities in unregistered offerings that failed to comply with Regulation A, which provides a limited exemption from registration under… Full report at: Read More

SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts Read the full report at Read More

The Securities and Exchange Commission today announced charges against El Segundo, California-based Red Rock Secured LLC, its CEO, Sean Kelly, and two of its former Senior Account Executives, Anthony Spencer and Jeffrey Ward, in connection with a… Full report at: Read More

SEC Obtains Final Judgment Against Former Broker for Role in Alleged Offering Fraud Read the full report at Read More

SEC Obtains Partial Summary Judgment Against Participants in IIIegal Microcap Securities Offerings Read the full report at Read More

SEC Obtains Final Judgment Against Head Trader Charged in Fake Trading Scheme Read the full report at Read More