March 26, 2020/US SEC The Securities and Exchange Commission today charged Rite Aid employee David M. Mahan with insider trading based on nonpublic information regarding a potential merger between Walgreens Boots Alliance, Inc. and Rite Aid. According to the SEC’s complaint, on January 18, 2017, Mahan learned through his employment […]

March 25, 2020/US SEC The Securities and Exchange Commission charged Donald H. Hunter, an unregistered investment adviser based in Ridgefield, Connecticut, with failing to disclose material conflicts of interest related to the sale of shares of You Angel Finance, LLC. According to the SEC’s complaint, in 2012 the Financial Industry […]

March 24, 2020/US SEC The Securities and Exchange Commission today announced charges against Justin W. Keener d/b/a JMJ Financial for failing to register as a securities dealer with the SEC. Keener allegedly bought and sold billions of newly issued shares of penny stock, generating millions of dollars in profits. The […]