September 14, 2018/US SEC The Securities and Exchange Commission has obtained final consent judgments against defendants Peter Kolokouris, Michael Hughes, Ekaterini Kolokouris, Anastasios Kolokouris, Ioannis Kolokouris, Demitrios Kolokouris, Sophia Kolokouris, Michael Papapanu, and Janice Papapanu. Last year, the SEC charged Peter Kolokouris, an Arista “consultant,” for engaging in schemes to […]
Frauds & Scandals
SEC Monitoring Impact of Hurricane Florence on Capital Markets
September 14, 2018/US SEC The Securities and Exchange Commission is closely monitoring the impact of Hurricane Florence on investors and capital markets. “The SEC is keeping a close eye on the progress of Hurricane Florence and any effects it may have on investors and capital markets. Dedicated staff stand ready to […]
Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data
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 […]
