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 […]
Frauds & Scandals
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 […]
SEC Obtains Final Judgment Against Former Partner At Global Consulting Firm
June 9, 2022/US SEC On June 2, 2022, the Securities and Exchange Commission obtained a final judgment against defendant Puneet Dikshit, a partner at a global management consulting firm charged with insider trading in November 2021. The Honorable Jesse Furman of the United States District Court for the Southern District […]
