9/7/2018/US SEC On July 2, 2018, the Securities and Exchange Commission charged two men alleged to have profited from illegal sales of stock of a company claiming to have a blockchain-related business. Earlier today, the district court approved a settlement with both men. According to the SEC’s complaint, attorney T.J. […]

9/7/2018/US SEC The Securities and Exchange Commission announced that Charles Schwab & Co., Inc., a registered broker-dealer, agreed to settle charges that it failed to file Suspicious Activity Reports (SARs) on the suspicious transactions of independent investment advisers that it terminated from using Schwab to custody their client accounts. To […]

6/7/2018/US SEC The Securities and Exchange Commission today announced settlements with two former senior executives of ITT Educational Services Inc., which the SEC charged hid its true financial condition from investors.  This resolution successfully concludes the SEC’s case, which was scheduled to begin trial on July 9. Former CEO Kevin […]