Brokerage firm sold $13.3 million worth of high-risk bonds to retirees and other retail investors June 16, 2022/US SEC The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and […]

June 15, 2022/US SEC The Securities and Exchange Commission announced that it obtained final judgments against sixteen defendants and ten relief defendants based in China for their role in a stock manipulation scheme that generated more than $35 million of illicit profits on the illegal trading of stock in at […]

June 15, 2022/US SEC The Securities and Exchange Commission announced insider trading charges against David Roda, a former software engineer at Penn National Gaming’s subsidiary Penn Interactive Ventures, in connection with the parent company’s $2 billion acquisition of Toronto-based Score Media and Gaming, Inc. The SEC’s complaint, filed in federal […]