13/9/2018/US SEC The Securities and Exchange Commission today announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75 million to settle charges that the broker-dealer firm provided the SEC with incomplete and deficient securities trading information known as “blue sheet data.” According to the […]

12/9/2018/US SEC The Securities and Exchange Commission today charged a hedge fund adviser and his investment advisory firm with illegally profiting from a scheme to drive down the price of San Diego-based Ligand Pharmaceuticals Inc., reaping more than $1.3 million of gains for the adviser and the hedge fund. The […]

12/9/2018/US SEC On September 7, 2018, the Securities and Exchange Commission filed an action against Joseph M. Laura, Anthony R. Sichenzio, and Walter Gil de Rubio, for defrauding approximately 80 investors of over $3.7 million. According to the SEC’s complaint, the defendants defrauded investors and misappropriated investor funds between June […]