The Securities and Exchange Commission today charged New Jersey-based National Realty Investment Advisors LLC (NRIA) and four of its former executives with running a Ponzi-like scheme that raised approximately $600 million from about 2,000 investors.… Full report at: Read More

The Securities and Exchange Commission today voted to adopt amendments to the electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs),… Full report at: Read More

SEC Obtains Court Order to Enforce Investigative Subpoenas Against Two Principals of Broadway Musical Fund Read the full report at Read More

SEC Obtains Default Judgment Against Former IIIinois Investment Professional Charged with Fraud Read the full report at Read More

The Securities and Exchange Commission today reopened the public comment periods for 11 Commission rulemaking releases and one request for comment due to a technological error that resulted in a number of public comments submitted through the Commission’… Full report at: Read More

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Thursday, Oct. 13, which will address entrepreneurship hubs and recent trends in taking a company public.… Full report at: Read More

CEO of Hydrogen’s “Market Maker” Also Being Charged for Role in Scheme Read the full report at Read More

SEC Charges Man for Defrauding Investors Out of Millions of Dollars by Posing as Hedge Fund Billionaire Read the full report at Read More

SEC Obtains Final Judgment Against Investment Adviser Representative Donald Kellen Read the full report at Read More

SEC Charges Southern California Firm with Operating a Ponzi-Type Scheme Read the full report at Read More