April 30, 2024/US SEC The Securities and Exchange Commission filed insider trading charges today against Sanjay Bhandari, Vinod Singhi, and Rakesh Jain, who collectively made about $70,000 in profits from trading in advance of the January 19, 2022 announcement that Zogenix Inc. would be acquired by another company. They each […]

April 29, 2024/USS SEC On April 26, 2024, the U.S. District Court for New Jersey entered a final judgment against Mario E. Rivero, a former registered representative at a broker-dealer, who misappropriated more than $480,000 from his advisory clients and brokerage customers. According to the SEC’s complaint, filed on March […]

April 29, 2024/US SEC The Securities and Exchange Commission today charged John Francis Forsythe, III, a resident of New Jersey, and an entity he owns and controls, Tri-Bridge Ventures, LLC (“Tri-Bridge”), with failing to register with the SEC as securities dealers. As part of their business, Forsythe and Tri-Bridge allegedly […]