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 […]
Frauds & Scandals
J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule
Firm’s confidential agreements impeded clients from communicating with the SEC January 16, 2024/US SEC The Securities and Exchange Commission today announced settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law violations to the SEC. JPMS agreed to […]
SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business
Firm agrees to pay more than $249 million to settle fraud charges and for failing to enforce information barriers January 12, 2024/US SEC The Securities and Exchange Commission today charged investment banking giant Morgan Stanley & Co. LLC and the former head of its equity syndicate desk, Pawan Passi, with […]
