Author name: SecurityFraudLawyer

The Certified Financial Planner Board of Standards, Inc. (CFP Board) announced today that it would impose public sanctions on 22 […]

By all accounts, Peter Eckerline, a lifelong Merrill Lynch broker, Wayzata, Minnesota-based spent the entire duration of his 37 years

The SEC filed four civil injunctive proceedings last week and no administrative proceedings. This excludes tag-along or similar proceedings. Offering

Injunctive relief, disgorgement, prejudgment interest, and civil penalties have been sought by the Securities Exchange Commission (SEC) in their complaint

Aegis Capital Corporation is one of almost 50 broker-dealers with a significant workforce of registered representatives who have a less

WashingtonD.C. Aug. 25, 2021 — The Securities Exchange CommissionToday, the appointment of Barbara RoperAs Senior AdvisorTo the Chair. Ms. Roper’sWe

WashingtonD.C. Aug. 25, 2021 — On Aug. 20, 2021 Securities Exchange CommissionTo stop fraudsters from committing more crimes, you can

WashingtonD.C. Aug. 24, 2021 — The Securities Exchange CommissionToday, it was announced that Pennsylvania-based Healthcare Services Group. Inc. $6 million

WashingtonD.C. Aug. 16, 2021 — The Securities Exchange CommissionToday, the company announced that it had charged an issuer, its CEO

WashingtonD.C. Aug. 17, 2021 — The SecuritiesAnd Exchange CommissionToday, a former employee was charged with California-based Medivation Inc. Insider trading