OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
SEC: Adam S. Aderton Named Co-Chief of the…
Washington D.C., May 2, 2019 — The Securities and Exchange Commission today announced that Adam S. Aderton has been named Co-Chief of the Division of Enforcement's Asset Management Unit, a national specialized unit that focuses…
FINRA Orders BBR to Pay Approximately $205,000 in…
Firm Owner Sanctioned for Failing to Supervise Two Registered Representatives WASHINGTON — FINRA announced today that it has ordered New Jersey-based broker-dealer Buckman, Buckman & Reid, Inc. ( BBR ) to pay approximately $205,000 in…
SEC Share Class Initiative Returning More Than $125…
Reflecting SEC’s Commitment to Retail Investors, 79 Investment Advisers Who Self-Reported Advisers Act Violations Agree to Compensate Investors Promptly, Ensure Adequate Fee Disclosures The Securities and Exchange Commission today announced settled charges against 79 investment…
SEC Charges Audit Firm and Suspends Accountants for…
Washington D.C., Dec. 21, 2018 — The Securities and Exchange Commission today filed settled charges against national audit firm Crowe LLP, two of its partners, and two partners of a now-defunct audit firm for their significant…
Two Advisory Firms, CEO Charged With Mutual Fund…
Washington D.C., Dec. 21, 2018 — The Securities and Exchange Commission today announced settled charges against two New York-based investment advisers and the CEO of one of the advisers who selected mutual fund share classes…
SEC Charges Agria Corporation and Executive Chairman With…
Washington D.C., Dec. 10, 2018 — A multinational agricultural company has agreed to pay $3 million to settle charges that it concealed substantial losses from investors through fraudulent accounting in connection with its divestiture of its…
Two ICO Issuers Settle SEC Registration Charges, Agree…
Washington D.C., Nov. 16, 2018 — The Securities and Exchange Commission today announced settled SEC Registration charges against two companies that sold digital tokens in initial coin offerings (ICOs). These are the Commission’s first cases…
SEC Updates List of Firms Using Inaccurate Information…
Updates Make It Easier for Retail Investors to Search Database Washington D.C., Oct. 31, 2018 — The Securities and Exchange Commission today announced that it has updated its list of unregistered entities that use misleading…