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he Securities and Exchange Commission today charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail investors about the value of their investments in a Ponzi-like scheme. The SEC alleges that, starting in approximately 2010, Michael Scronic began to raise money from at least 42 friends and acquaintances, many of whom […]
The Securities and Exchange Commission today charged a former broker, his company, and his business partner in an alleged real estate investment scheme utilizing high-pressure sales tactics to pilfer $6 million from retirees and other investors while using the proceeds to fund the broker’s lavish lifestyle and start e-cigarette businesses. The SEC alleges that Leonard […]
Panel Discussion Details The panel discussion will cover a range of topics, issues, and procedures critical to arbitrating expungement matters. Participants can expect to gain insights into the preparation and execution of expungement hearings, including best practices for presenting cases and navigating the arbitration process. This session is particularly relevant for legal professionals involved in […]
The Securities and Exchange Commission today announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual fund sales charges to clients who were overcharged. In a settlement of more than $97 million, Barclays agreed to settle three sets of violations that resulted in clients being overbilled by nearly $50 million. The SEC’s […]
In recent times, Oppenheimer & Co. has undergone significant changes in its management structure, reflecting the evolving landscape of the financial services industry. The shifts are part of a broader strategy to adapt to new market conditions and client needs, ensuring that the firm remains competitive and continues to provide exceptional service to its clients. […]