8/11/2018/US SEC On November 7, 2018, the Securities and Exchange Commission charged Florida resident Ricardo H. Goldman for fraudulently operating an unregistered securities day trading firm. According to the SEC’s complaint, Goldman misled dozens of day traders into thinking they were opening individual online securities trading accounts with Goldman’s broker-dealer, […]
Frauds & Scandals
SEC Charges California Software Consultant with Insider Trading
8/11/2018/US SEC The Securities and Exchange Commission yesterday charged a California-based software consultant with insider trading based on material, nonpublic information he misappropriated from his brother, an executive at Surgical Care Affiliates, Inc., an Illinois-based healthcare company. The SEC alleges that Slobodan Dragojlovic misappropriated from his brother material, nonpublic information […]
Stock Research Firm and Co-Founders Charged with Deceiving Investors in Supposedly Unbiased Reports
8/11/2018/US SEC The Securities and Exchange Commission today charged a stock research firm and its co-founders with defrauding investors by issuing reports purportedly based on “unbiased” and “not paid for” research when in reality they received thousands of dollars from issuers as a condition to providing each report. According to […]
