Sanjay Wadhwa Named Deputy Director Of Enforcement Division

WashingtonD.C. Aug. 18, 2021 — The Securities Exchange CommissionToday was the announcement of the appointment Sanjay WadhwaAs Deputy DirectorYou can find the DivisionOf Enforcement. Mr. WadhwaMost recently, served as Senior Associate DirectorYou can find the DivisionOf EnforcementIn the New York Regional Office(NYRO), in which he managed over 150 people to enforce federal securities laws. HisNew …

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SEC Enhances AccessTo Financial Disclosure Data

WashingtonD.C. Aug. 19, 2021 — The Securities Exchange CommissionToday, open data enhancements were announced that allow public access to financial statements as well as other disclosures made on the website of publicly traded companies. Electronic Data Gathering? Analysis?, and Retrievalsystem (EDGAR). TheSEC releases the first edition Application Programming Interfaces(APIs) are data that aggregate financial statements. …

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source https://financialadvisorcomplaints.com/sec-enhances-accessto-financial-disclosure-data/

SEC Charges Netflix Insider Trading Ring

WashingtonD.C. Aug. 18, 2021 — The SecuritiesAnd Exchange CommissionToday, three former employees were charged with insider trading. Netflix Inc. Two close associates and software engineers generated more than $3,000,000 in total profits from trading confidential information. Netflix’s subscriber growth. AccordingTo the SEC’s complaint Sung Mo”Jay” JunHe was involved in a long-running conspiracy to illegally trade …

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source https://financialadvisorcomplaints.com/sec-charges-netflix-insider-trading-ring/

SEC Charges Investment AdviserAnd Associated IndividualsWith Causing ViolationsOf RegulationSHO

WashingtonD.C. Aug. 17, 2021 — The SecuritiesAnd Exchange CommissionToday, settled charges were announced against Murchinson Ltd.; its principal. Marc Bistricer; and its trader Paul Zogala(the respondents) for providing incorrect order-marking information which caused executing brokers to violate RegulationSHO. InAdditionally, MurchinsonAnd BistricerSettlement of charges for failing to register a dealer with the SEC AccordingAccording to the …

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source https://financialadvisorcomplaints.com/sec-charges-investment-adviserand-associated-individualswith-causing-violationsof-regulationsho/

SEC Charges Pearson PLC Misleading Investors About Cyber Breach

The Securities and Exchange Commission today announced that Pearson plc London-based public company that provides educational publishing and other services to schools and universities, agreed to pay $1 million to settle charges that it misled investors about a 2018 cyber intrusion involving the theft of millions of student records, including dates of births and email …

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source https://financialadvisorcomplaints.com/sec-charges-pearson-plc-for-misleading-investors-about-cyber-breach/

Worden Capital Financial Advisor Salvatore Pizzimenti BARRED

Based on information available from recently released documents, financial advisor Salvatore Pizzimenti of Worden Capital has been barred from the Securities industry by the Financial Regulatory Authority (FINRA). This action of FINRA arises after an investigation into his customer accounts-related trading where he apparently failed to provide testimony. He was consequently barred, as also confirmed …

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source https://financialadvisorcomplaints.com/worden-capital-financial-advisor-salvatore-pizzimenti-barred/

Mark Barrand (Ameriprise Financial) Complaint Filed “FINRA”

Haselkorn & Thibaut, P.A., a national investor law firm, is investigating claims of unsuitable investment recommendations against Mark Barrand who is an investment advisor with Ameriprise Financial.  Former clients have made allegations that Barrand misrepresented investments and did follow suitability standards for clients. Mark Allen Barrand, the broker at the center of these disputes, is …

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