The Securities and Exchange Commission (SEC) has filed a settled action alleging that Mayur Baviskar, of Morrisville, North Carolina, engaged in a fraudulent “free-riding” scheme.
The Securities and Exchange Commission (SEC) has filed a complaint against Jesse R. Mitchell alleging he engaged in insider trading.
On August 4, 2026, the Securities and Exchange Commission filed a consent and proposed final judgment in the U.S. District Court for the District of New Jersey as to defendant John A. DeSalvo.
The Securities and Exchange Commission (SEC) today announced settled charges against New York-based investment adviser Papamarkou Wellner Asset Management, Inc.
On July 20, 2026, the Securities and Exchange Commission (SEC) filed partially settled charges against Zan Shaikh, a Florida resident, and his company Mining Automatic.
The Securities and Exchange Commission (SEC) today announced settled charges against Wedbush Securities for failing to provide complete and accurate securities trading information.
The Securities and Exchange Commission (SEC) today announced settled charges against registered broker-dealer Merrill Lynch, Pierce, Fenner & Smith Incorporated.
The Securities and Exchange Commission (SEC) on Thursday filed settled charges against Mingran Wang for allegedly orchestrating a years-long market manipulation scheme.
The Securities and Exchange Commission (SEC) has filed a lawsuit against John Sterling Myers, Sterling Capital, LLC, and Sterling Capital Management, LLC.
The Securities and Exchange Commission (SEC) today announced settled charges against Pasadena-based investment adviser Western Asset Management Company.
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