June 21, 2022/US SEC On June 17, 2022, the U.S. District Court for the Middle District of Pennsylvania entered a final consent judgment against now former Rite Aid Corp. employee Steven J. Sheinfeld, who was charged with insider trading based on nonpublic information regarding a potential merger between Walgreens Boots […]

June 16, 2022/US SEC The Securities and Exchange Commission charged former City of Johnson City, Texas chief administrative officer and city secretary, Anthony Michael Holland, with securities fraud for creating and causing to be distributed falsified financial statements and a falsified audit report for the city’s 2016 fiscal year. According […]

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 […]