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 Halts Fraudulent Offering By Florida Investment Adviser
Washington D.C., March 10, 2020 — On March 6, 2020, the Securities and Exchange Commission obtained an asset freeze and other emergency relief against Florida investment adviser Kinetic Investment Group LLC and its managing member,…
Natasha Vij Greiner Named Associate Director in SEC’s…
Washington D.C., Oct. 29, 2019 — The Securities and Exchange Commission today announced that Natasha Vij Greiner has been named Associate Director in its Office of Compliance Inspections and Examination’s (OCIE) investment adviser and investment…
SEC Charges Investment Adviser With Fraud
Washington D.C., July 1, 2019 — The Securities and Exchange Commission today charged Investment Adviser, Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of Foxboro, Mass., with defrauding retail investment advisory…
Investor Alert: The Perils of Pension Income Deals
A pension provides something extremely valuable to any retiree: Guaranteed income. A pension pays a monthly annuity for the life of the pension holder. If you are a retiree receiving an annuity, or an active…
One Dallas Investment Adviser Suspended, A Second Ordered…
Texas Securities Commissioner Travis J. Iles on June 6 sanctioned two Dallas investment adviser representatives for selling unsuitable investments to clients. The Commissioner suspended investment adviser representative Mark A. Trewitt for 90 days for selling unsuitable investments to clients,…
Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment…
Washington D.C., June 4, 2019 — The Securities and Exchange Commission today announced that Marshall Gandy has been named Co-National Associate Director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections…
SEC Charges Investment Adviser With Fraud
Washington D.C., May 28, 2019 — The Securities and Exchange Commission today charged investment adviser Stephen Brandon Anderson with defrauding clients by overcharging advisory fees of at least $367,000. According to the SEC’s order, Anderson…
SEC Charges Investment Adviser With Running $3.9 Million…
Washington D.C., Nov. 2, 2018 — The Securities and Exchange Commission today charged a former registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering fraud. The SEC’s complaint alleges that Douglas…