March 30, 2023/US SEC The Securities and Exchange Commission today filed insider trading charges against Sean Wygovsky, a former trader at a Canadian asset management firm, and Christopher Matthaei, a former partner at a U.S. broker-dealer, for using nonpublic information in advance of at least seven merger announcements involving Special […]
Frauds & Scandals
SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct
March 29, 2023/US SEC The Securities and Exchange Commission today announced settled charges against Spicer Jeffries LLP, an audit firm based in Denver, and audit engagement partner Sean P. Tafaro, for their improper professional conduct in connection with audits of two private funds. According to the SEC’s order, during the […]
SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraud
March 29, 2023/US SEC The Securities and Exchange Commission on March 27, 2023, charged former broker Surage Kamal Roshan Perera and his firm, Janues Capital Incorporated, with defrauding at least one investor out of millions by lying about investment opportunities and strategies, concealing trading losses, and using funds received from […]
