September 28, 2018/US SEC The Securities and Exchange Commission today announced that Credit Suisse Securities (USA) LLC has agreed to settle charges brought by the SEC and the Office of the New York Attorney General regarding material misrepresentations and omissions made in connection with its now-closed Retail Execution Services (RES) […]
Frauds & Scandals
SEC Charges Company Insider with Multiple Frauds
September 28, 2018/US SEC The Securities and Exchange Commission today charged Thomas Carter Ronk with fraud in connection with multiple alleged schemes to peddle securities to investors and manipulate the market. The SEC charged Ronk with disseminating false and misleading information in connection with unregistered offerings of securities in two […]
SEC Charges Former Texas State Senator and CEO with Securities Fraud
September 28, 2018/US SEC Washington D.C., September 28, 2018 – The Securities and Exchange Commission today announced charges against former Texas state senator Carlos I. Uresti and Stanley P. Bates for securities fraud and other violations of the federal securities laws. According to the SEC’s complaint, filed in the United […]
