January 25, 2024/US SEC The Securities and Exchange Commission today announced that Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), agreed to settle charges that it made misleading statements in forms filed with the SEC as part of its January 2021 initial public offering (IPO). According to […]
Frauds & Scandals
SEC Charges Financial Advisor with Fraud for Stealing from Account Holders to Pay Personal Expenses
January 25, 2024/US SEC The Securities and Exchange Commission yesterday charged Jesus Rodriguez, a former financial advisor, with fraud for misappropriating more than $3.475 million from ten brokerage account holders and advisory clients. The SEC’s complaint alleges that from 2014 to 2021, while employed as a registered representative and investment […]
SEC Charges Convertible Note Dealer for Failure to Register; Defendants Agree to Pay $1.25 Million to Settle
January 23, 2024/US SEC The Securities and Exchange Commission today announced the filing of an enforcement action against Aryeh Goldstein, a resident of Florida and New York, and two entities he controls, Adar Bays, LLC, located in Florida, and Adar Alef, LLC, doing business in Florida and New York, for […]
