MagnaChip & CFO Settle Accounting Fraud Charges
On May 1, 2017, the Securities and Exchange Commission (“SEC”) announced that MagnaChip, a South Korea-based semiconductor manufacturer, and its former CFO have…
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Insights on securities law, exchange listings, going public, SEC reporting, and market regulation. Stay updated with our latest articles on capital markets compliance, regulatory developments, and strategic guidance for public and private companies.
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Centers for Medicare and Medicaid Services Employees Charged with Insider Trading
On May 24, 2017, the Securities and Exchange Commission (“SEC”) announced charges in an alleged insider trading scheme involving tips of nonpublic information…
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SEC Files Fraud Charges Against Robert Murray
On May 19, 2017, the Securities and Exchange Commission (“SEC”) filed fraud charges against Robert Murray, a Virginia-based mechanical engineer accused of scheming…
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SEC Charges David Humphrey with Securities Fraud
On May 9, 2017, the Securities and Exchange Commission (“SEC”) charged David Humphrey, a former employee, with securities fraud in connection with…
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Barclays Capital Required to Refund Advisory Fees by SEC
On May 10, 2017, the Securities and Exchange Commission (“SEC”) announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual…
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Miles Nadal Settles $5.5 Million for SEC Case
On May 11, 2017, the Securities and Exchange Commission (“SEC”) announced that Miles Nadal, the former CEO of a marketing company, has agreed…
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SEC Charges Nomura Securities International Inc. Head Traders
On May 15, 2017, the Securities and Exchange Commission (“SEC”) charged a pair of former head traders who ran the commercial mortgage-backed…
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Walter Little and Neighbor Charged by SEC for Insider Trading
On May 11, 2017, the Securities and Exchange Commission (“SEC”) charged Walter Little, a former partner at an international law firm, and…
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Axesstel Fails to Comply with Exchange Act
On April 24, 2017, the Securities and Exchange Commission (“SEC”) deemed it necessary and appropriate for the protection of investors that public…
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Jared Galanis Pleads Guilty, SEC Suspends Him
On April 24, 2017, the Securities and Exchange Commission (“SEC”) deemed it appropriate to issue an order of forthwith suspension of Jared…
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SEC Suspends Mark McKinnies
On April 21, 2017, the Securities and Exchange Commission (“SEC”) deemed it appropriate and in the public interest that public administrative proceedings…
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SEC Charges Matthew Krimm with Defrauding Investors
On April 25, 2017, the Securities and Exchange Commission (“SEC”) charged Matthew Krimm, a former mortgage loan officer, with defrauding investors, including…
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SEC Charges Demitrios Hallas for Defrauding Customers
On April 25, 2017, the Securities and Exchange Commission (“SEC”) charged Demitrios Hallas, a former broker, with knowingly or recklessly trading unsuitable…
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Whistleblower Awarded Almost $4 Million by SEC
On April 25, 2017, the Securities and Exchange Commission (“SEC”) announced an award of nearly $4 million to a whistleblower who tipped…
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SEC Charges Avaneesh Krishnamoorthy with Insider Trading
On April 24, 2017, the Securities and Exchange Commission (“SEC”) charged Avaneesh Krishnamoorthy, a vice president in the risk management department of a…
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SEC Charges Kevin Amell with Fraud
On April 24, 2017, the Securities and Exchange Commission (“SEC”) announced fraud charges against Kevin Amell, a Massachusetts-based portfolio manager accused of…
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Magyar Telekom Executives Agree to Pay Penalties
On April 24, 2017, the Securities and Exchange Commission (“SEC”) announced that two former executives at Hungarian-based telecommunications company Magyar Telekom have agreed…
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SEC Charges Brothers for Hydrocarb Fraud Scheme
On April 21, 2017, the Securities and Exchange Commission (“SEC”) has charged two brothers – Kent and Mike Watts – with orchestrating…
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Robert Stewart Fined & Suspended by FINRA
On February 2, 2017, Robert Stewart (CRD #5746657, Dewey, Arizona) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) in which he…
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Brian Scarpellini Named Respondent in Check-Kiting Scheme
On February 9, 2017, Brian Scarpellini (CRD #6320844, Plainsboro, New Jersey) was named a respondent in a FINRA complaint alleging that he…
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Austin Morton Named Respondent In FINRA Complaint
On February 24, 2017, Austin Morton (CRD #5538108, Spiro, Oklahoma) was named a respondent in a FINRA complaint alleging that he converted…
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Rosemary McGinley Suspended From Association with FINRA
On February 1, 2017, Rosemary McGinley (CRD #2435216, Doylestown, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) in which she…
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Legend Securities Named Respondent for Various Claims
On February 1, 2017, Legend Securities, Inc. (CRD #44952, New York, New York) was named a respondent in a FINRA complaint alleging…
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FINRA Fines Albert Fried & Company
On February 22, 2017, Albert Fried & Company, LLC (CRD #1914, New York, New York) submitted a Letter of Acceptance, Waiver and…
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Alejandro Falla Barred From Association with FINRA Members
On February 9, 2017, Alejandro Falla (CRD #5064828, Miami, Florida) submitted an AWC in which he was barred from association with any…
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Jay Hatton Submits Offer of Settlement
Jay Hatton (CRD #1725472, Edinburgh, Indiana) submitted an Offer of Settlement in which he was assessed a deferred fine of $10,000 and…
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Lightspeed Trading Named Respondent in FINRA Complaint
Lightspeed Trading, LLC (CRD #35519, New York, New York) was named a respondent in a FINRA complaint alleging that it failed to…
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J.W. Korth & Company to pay Restitiution
J.W. Korth & Company, Limited Partnership (CRD #26455, Lansing, Michigan) was ordered to pay the approximate amount of $29,268, plus interest, in…
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FINRA Expels Fox Financial Firm
Fox Financial Management Corporation (CRD® #134277, Carrollton, Texas), Brian Murphy (CRD #4743164, Frisco, Texas) and James Rooney Jr. (CRD #1857754, Carrollton, Texas)…
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Explore our curated collection of external resources and industry links that complement our blog content. These hand-picked links provide additional perspectives on securities law, market regulations, and business compliance.
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https://www.finra.org/JOBS Act 101
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