2/11/2018/US SEC The Securities and Exchange Commission today charged a former registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering fraud. The SEC’s complaint alleges that Douglas P. Simanski raised over $3.9 million from approximately 27 of his brokerage customers and investment advisory clients, many of […]

2/11/2018/US SEC The Securities and Exchange Commission today charged an IT professional in Texas who allegedly participated in an insider trading scheme perpetrated by a former Wall Street investment banking analyst. The SEC’s complaint alleges that Hamed Ettu, a family friend of the analyst Damilare Sonoiki, received illegal tips about […]

November 2, 2018/US SEC The Securities and Exchange Commission (“SEC”) announced today that on November 1, 2018, the Honorable Thomas W. Thrash, Jr. of the United States District Court for the Northern District of Georgia entered final judgment against Charles A. Banks, IV, a former Atlanta-based investment adviser who the […]