July 28, 2021/US SEC On July 23, 2021, the United States District Court for the District of New Jersey entered a final consent judgment against Shaun Greenwald, a Certified Public Accountant whom the SEC charged in connection with his role in a market manipulation scheme. The SEC’s complaint, as amended […]
Frauds & Scandals
SEC Charges Unlicensed Broker With Defrauding Investors
July 28, 2021/US SEC The Securities and Exchange Commission today charged Joshua L. Rupp of Michigan for engaging in securities fraud and for acting as an unregistered broker-dealer. The SEC’s complaint, filed in the U.S. District Court for the Western District of Michigan, alleges that Rupp engaged in a fraudulent […]
SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures
July 26, 2021/US SEC The Securities and Exchange Commission today announced that 21 investment advisers and 6 broker-dealers have agreed to settle charges that they failed to timely file and deliver their client or customer relationship summaries – known as Form CRS – to their retail investors. On June 5, […]
