Aegis Capital Complaints: Scott Scott Hananel Investigated

Aegis Capital Corporation is one of almost 50 broker-dealers with a significant workforce of registered representatives who have a less than clean history showing up on their public disclosures. This has been reported in a study commissioned by Reuters and Columbia University School of Law in 2017.  One of their advisors, Scott Hananel, is under …

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source https://financialadvisorcomplaints.com/aegis-capital-complaints-scott-scott-hananel-investigated/

Chair Gensler Announces Addition Of Barbara RoperTo Senior Staff

WashingtonD.C. Aug. 25, 2021 — The Securities Exchange CommissionToday, the appointment of Barbara RoperAs Senior AdvisorTo the Chair. Ms. Roper’sWe will focus on matters related to retail investor protection. This includes matters relating broker-dealer oversight, investment advisor oversight, and examinations. SheCurrently, the DirectorOf Investor ProtectionFor the Consumer FederationOf America(CFA). “Barbis an investor champion and will …

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source https://financialadvisorcomplaints.com/chair-gensler-announces-addition-of-barbara-roperto-senior-staff/

SEC Obtains Emergency Relief. Charges Investment Adviser Its PrincipalWith Operating$110 Million Ponzi Scheme

WashingtonD.C. Aug. 25, 2021 — On Aug. 20, 2021 Securities Exchange CommissionTo stop fraudsters from committing more crimes, you can file an emergency action PonziScheme allegedly perpetrated Marietta. Georgiaresident John WoodsAnd two entities he owns: Registered Investment Advisor and Registered Investment Broker Livingston Group Asset Management Company?, d/b/a(*) (Southport Capital() and investment fund SouthportIII LLC …

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source https://financialadvisorcomplaints.com/sec-obtains-emergency-relief-charges-investment-adviser-its-principalwith-operating110-million-ponzi-scheme/

SEC Charges Healthcare Services CompanyThe CFO FailingTo Accurately Report Loss ContingenciesAs part of ContinuingEPS Initiative

WashingtonD.C. Aug. 24, 2021 — The Securities Exchange CommissionToday, it was announced that Pennsylvania-based Healthcare Services Group. Inc. $6 million settlement was reached to resolve charges that the company committed accounting and disclosure violations. The violations allowed the company’s quarterly earnings per share (EPS), to be reported at an inflated level that exceeded the consensus …

SEC Charges Healthcare Services CompanyThe CFO FailingTo Accurately Report Loss ContingenciesAs part of ContinuingEPS Initiative Read More »

source https://financialadvisorcomplaints.com/sec-charges-healthcare-services-companythe-cfo-failingto-accurately-report-loss-contingenciesas-part-of-continuingeps-initiative/

SEC Charges Penny Stock CompanyCEO OthersWith Multi-Million Dollar Fraud

WashingtonD.C. Aug. 16, 2021 — The Securities Exchange CommissionToday, the company announced that it had charged an issuer, its CEO and six other entities with taking part in a scheme to defraud penny stock investors. TheSEC also charged several participants with operating as unregistered dealer, and obtained emergency relief in an effort to stop their …

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source https://financialadvisorcomplaints.com/sec-charges-penny-stock-companyceo-otherswith-multi-million-dollar-fraud/

SEC Charges Biopharmaceutical Company EmployeeWith Insider Trading

WashingtonD.C. Aug. 17, 2021 — The SecuritiesAnd Exchange CommissionToday, a former employee was charged with California-based Medivation Inc. Insider trading ahead of Medivation’sAn announcement by the pharmaceutical giant that it would be bought Pfizer Inc. AccordingTo the SEC’s complaint filed in the U.S. District CourtFor the Northern DistrictThis is California. Matthew PanuwatRobert, then-head of business …

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source https://financialadvisorcomplaints.com/sec-charges-biopharmaceutical-company-employeewith-insider-trading/

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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source https://financialadvisorcomplaints.com/sanjay-wadhwa-named-deputy-director-of-enforcement-division/