A New York-based RIA raised more than $75 million from hundreds of investors after soliciting unregistered securities offerings without approval from their registered broker/dealer, while failing to tell clients the firm owed about $750,000 to the company connected to the unregistered offerings, according to new charges from the Securities and Exchange Commission (SEC).
Accomplished executive leader adept at revitalizing underperforming operations, securing and managing key account relationships, and driving business growth goals. CEO of Patrina, responsible for corporate financial activities, all legal compliance, and shareholder communication.
Read Full Article The Securities and Exchange Commission is fining 15 broker/dealers and one affiliated investment...
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Read Full Article In a newly released risk alert, the commission’s Division of Examinations highlighted...
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Read Full Article The accused hacked into more than 30 retail accounts at several U.S....
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Read Full Article On May 19, the U.S. Securities and Exchange Commission (SEC) issued a...
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