Software Engineer Traded, Tipped Friend of Company’s Acquisition Plans June 14, 2022/US SEC The Securities and Exchange Commission today 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 […]
Frauds & Scandals
SEC Charges New York-Based Investment Adviser and Its CEO and Former Chief Compliance Officer with Securities Violations
June 10, 2022/US SEC The Securities and Exchange Commission today announced charges against registered investment adviser A.G. Morgan Financial Advisors, LLC (“AGM”) of Massapequa, New York, AGM’s owner Vincent J. Camarda, and AGM’s former Chief Compliance Officer James McArthur, for unlawfully offering and selling securities in connection with a more […]
SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct
Firm’s auditing deficiencies caused misleading disclosures by two clients prior to their bankruptcies and delistings June 8, 2022/US SEC The Securities and Exchange Commission today charged audit firm CohnReznick LLP with improper professional conduct on engagements for two clients in 2017. The two clients, Sequential Brands Group, Inc. and Longfin […]
