July 28, 2022/US SEC The Securities and Exchange Commission today charged Dr. Pablo Rubinstein, Eduardo Rubinstein, and Mark Klein for insider trading in the securities of Ampio Pharmaceuticals, Inc. before a negative announcement concerning one of the company’s flagship developmental drugs on August 7, 2018. According to the SEC’s complaint, […]
Frauds & Scandals
SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft
July 27, 2022/US SEC The Securities and Exchange Commission today separately charged J.P. Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID. According to the […]
SEC Charges Florida Resident with Operating a Ponzi Scheme That Targeted Haitian-American Community
July 27, 2022/US SEC The Securities and Exchange Commission yesterday charged Palm Beach County resident Alexandra Robert and two companies under her ownership and control, alleging that they fraudulently raised approximately $900,000 from 80 investors through an unregistered securities offering, including to members of the Haitian-American community in South Florida. […]
