SEC Charges Massachusetts-Based Firm and Its Co-Owners with Acting as Unregistered Securities Dealers
Auctus Fund Management, LLC, Louis Posner, and Alfred Sollami (Release No. LR-25741; Jun. 1, 2023)
Tag: U.S. Securities and Exchange Commission
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SEC Charges Self-Proclaimed ‘Queen of Mobile Homes’ and Three Salespeople with Fraud in Mobile Home Investment Scheme
Chimene Van Gundy, Outstanding Real Estate Solutions, Inc., Michael Trofimoff, Santos Kidd, and Maria Tosta (Release No. LR-25739; May 31, 2023)
SEC Commission Statement on the Passing of Former Chairman Harvey Pitt
Commission Statement on the Passing of Former Chairman Harvey Pitt The Commission May 31, 2023 Read the full statement from the U.S. Securities and Exchange…
SEC Settles IIIicit Trading Case Against Two Former Registered Representatives
Engler, et al. (Release No. LR-25738; May 30, 2023)
Former Wells Fargo Senior Executive Carrie Tolstedt Agress to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric
The Securities and Exchange Commission today announced its settlement with the former head of Wells Fargo & Co.’s Community Bank, Carrie L. Tolstedt…